Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Haggar (Haggar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Haggar 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 $70,000.00 on April 10, 2023.
Time frame: December 2020-February 2023\, \, Client alleges a misstatement of fact and a failure to follow instructions regarding certain investments which were agreed to be retained once brought into UBS.