Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Edwards (Edwards), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Edwards recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $17,500.00 on August 10, 2020.
Time Frame: January 02, 2020 to May 31, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.