Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colleen Schuhmann (Schuhmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schuhmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 14, 2023.
Time Frame: March 24th, 2022 to April 25th, 2022\, \, What were the allegations against the individual? The client alleges the Financial Advisor failed to enter trades as instructed. The alleged damages are estimated to be in excess of $5000.00.