Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Durham (Durham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Durham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $100,000.00 on August 25, 2020.
Durham was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.