Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Fitschen (Fitschen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitschen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 22, 2022.
Time Frame: January 3rd, 2022 to July 22nd, 2022\, \, What were the allegations against the individual? The client alleges he was assured multiple times that his total fees for his managed assets would never exceed 60 basis points. The alleges damages are estimated to be in excess of $5,000.00.