Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garth Allan (Allan), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Allan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.
Client verbally complained that the financial advisor did not invest his funds as instructed. (1/29/2020-3/13/2020)