Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Pacetti (Pacetti), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pacetti 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 $50,000.00 on February 09, 2022.
Time Frame: July 08, 2021 to February 09, 2022\, \, Verbal allegations that the Financial Advisor recommended an investment that after purchase, did not meet the client’s expressed criteria which was ‘not to lose any money’. Additional allegations made that the FA stated this was a risk-free investment