Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dever (Dever), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 $200,000.00 on August 22, 2023.
Time Frame: August 21, 2022\, \, What were the allegations against the individual? The Client alleges his Financial Advisor did not follow his instructions as he did not want his shares all sold at one time but rather feathered thru to maximize the value.