Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher George (George), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that George recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 05, 2022.
Time Frame: January 02, 2020 to December 31, 2021\, The client alleges he was charged excessive fees and commissions. The client further alleges moving bonds into his managed account was not in his best interest or explained. The alleged damages are estimated to be in excess of $5,000.00.