Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marshall Hagen (Hagen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hagen 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 $150,000.00 on September 24, 2020.
Time frame: October 2014 to December 2019 \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.