Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jake Long (Long), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Long recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.
Time Frame: March 7th, 2025 to March 14th, 2025\, \, What were the allegations against the individual? The Executor of the account alleges the Financial Advisor failed to follow his instructions by not liquidating the account.