Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Redden (Redden), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Redden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 05, 2020.
Time Frame: March 13, 2020 to March 18, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The clients allege their instructions to have trades placed were not followed. The alleged damages are in excess of $5,000.00.