Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Zegarra (Zegarra), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Zegarra recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.
Client alleges he lost money due to advisor not placing trades on the day he requested by phone. The activity occurred between January 13, 2022 and January 18, 2022.