Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Moriarty (Moriarty), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Moriarty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 30, 2024.
Time Frame: January 3rd, 2022 to December 29th, 2023 What were the allegations against the individual – The Client alleges the Financial Advisor did unauthorized trading in the account and realized losses in excess of 1.1M dollars.