Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Barter (Barter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 $18,000,000.00 on June 25, 2024.
Time frame: 2020-2024\, Allegations: Claimant alleges his financial advisor made an unsuitable recommendation to invest in municipal bonds.