Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hardy (Hardy), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hardy 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 $11,053.00 on August 25, 2023.
Time Frame: December 23rd 2021 to July 16th 2022\, \, What were the allegations against the individual: The POA alleges unsuitability in that the investments did not align with the client’s investment risk profile.