Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 $637,686.15 on January 03, 2023.
Time frame: June 28, 2021 to December 26, 2021\, \, Allegations: Clients allege unsuitability in connection with the merger for certain holdings, which resulted in principal losses.