Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depaula (Depaula), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Depaula recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 03, 2022.
Time Frame: December 01, 2021 – March 03, 2022\, \, What were the allegations against the individual? \, The client alleges her Financial Advisor failed to enter trades as instructed.. The alleged damages are estimated to be in excess of $5,000.00.