Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Hynden (Hynden), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hynden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,400,000.00 on July 21, 2021.
Eric Hynden was named in a customer complaint that asserted the following causes of action: breach of duty of confidentiality; breach of fiduciary duty; and failure to supervise in violation of FINRA Rule 3110.