Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Breeden (Breeden), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Breeden 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, 2020.
Client alleges mutual fund investment was misrepresented. 2019-2020 damages unspecified