Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Mrozowski (Mrozowski), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mrozowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 12, 2025.
April 22nd, 2025 to May 9th, 2025\, What were the allegations against the individual? The firm settled a matter where the client states that his stocks were not purchased as discussed.