Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Moore (Moore), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 14, 2020.
Time Frame: March 20, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00