Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wehrman (Wehrman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wehrman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.
Time Frame: March 2, 2020 to March 9, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00.