Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Breon (Breon), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Breon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 23, 2023.
Time Frame: August 15th 2023\, \, What were the allegations against the individual? Client verbally alleged he gave instructions to liquidate his managed account and those instructions were not followed.