Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Oliver Owens (Owens), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Owens’s most recent customer complaint alleges that Owens recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,621,498.00 on July 07, 2021.
Time frame: 15-Jan-2009 to 07-Jul-2021\, Allegations: Claimant alleges that UBS recommended unsuitable investments of Structured Investment Products in Claimant’s account. Claimant alleges that UBS misrepresented and failed to disclose material facts concerning certain investments and the fees/commissions being charged. Claimant also alleges unauthorized trading.