Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace T Damen (Damen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Damen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $6,006.01 on May 01, 2026.
Time Frame: January 15th, 2020\, What were the allegations against the individual? The client\\u2019s Attorney alleges that despite clear instructions provided to pay $200,000 dollars to the IRS, only $100,000 was sent. \,