Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Sholtis (Sholtis), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sholtis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.
Time Frame: August 21, 2017 to March 26, 2021\, \, What were the allegations against the individual? \, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00.