Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Burns (Burns), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.
Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.