Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Domian (Domian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Domian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 03, 2020.
Time Frame: January 24, 2020 to February 28, 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 account was not done and a lack of fiduciary responsibility to liquidate on a day when the market without contacting him. The alleged damages are estimated to be in excess of $5,000.00.