Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stoner (Stoner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Stoner 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 $25,000.00 on July 11, 2024.
Time frame: 2024\, Claimant alleges that the FA failed to follow instructions to increase his equity asset allocation, which purportedly resulted in unrealized gains to his portfolio.