Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurel Simon Bobrowich (Simon Bobrowich), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Simon Bobrowich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.
The client alleges her FA did not inform her that the recommendation to convert her IRA’S to Roth IRA’s would be a taxable event. The alleged damages were estimated to be in excess of $5,000.00