Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Billingsley (Billingsley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Billingsley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.
Time Frame: March 9, 2020 to March 19, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to match all of his accounts to low risk like one of his other accounts was not completed. The client further alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.