Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Hull (Hull), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hull recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.
Time Frame: October 1, 2021 to October 4, 2021\, The client alleges a failure to liquidate his shares as instructed. The client further alleges his share were sold at a price well below what he authorized and that he was not a party to that decision to sell at that price.