Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lindsey Benson (Benson), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Benson 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 $13,000.00 on March 31, 2022.
Time Frame: November 20, 2021 – March 28, 2022\, What were the allegations against the individual? \, The client’s Attorney alleges the CSA failed to exercise the options as instructed.