Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Mcginley (Mcginley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcginley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.
Time frame: January 2018 – Present\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.