Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Millian (Millian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Millian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,000.00 on April 09, 2025.
Time Frame: March 31st, 2025 to April 3rd, 2025\, \, What were the allegations against the individua: lThe client alleges that the financial advisor failed to follow her instructions by investing her account prior to when she wanted. The client further alleges that some of the investment decisions were against her risk tolerance.