Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Platek (Platek), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Platek 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 $30,000.00 on November 25, 2020.
Time frame: 2010-2014\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in the market and in annuities.