Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Foster (Foster), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 27, 2023.
Time Frame: February 22nd, 2023 to March 9th, 2023 \, \, What were the allegations against the individual? The client alleges that the FA failed to timely file a required form 144 that caused his trade to be cancelled. Due to this cancellation, the client suffered a significant loss.