Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rimmel (Rimmel), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimmel 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 $7,000.00 on August 11, 2025.
Time Frame: January 14th, 2021 to August 11th, 2025\, \, What were the allegations against the individual? The Trustee alleges that the Financial Advisor sold unsuitable investments based on the client’s age and life expectancy.