Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Vance (Vance), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $8,081.23 on March 18, 2020.
Time Frame: March 6, 2020 to March 17, 2020 The client alleges he was not informed he could lose money in his investment and that there was no risk.