Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pasquariello (Pasquariello), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pasquariello 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 $13,511.00 on September 21, 2020.
Time Frame: December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019