Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lurie (Lurie), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lurie 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 $60,000.00 on May 13, 2021.
Claimant alleges respondent recommended unsuitable investments, misrepresented or omitted material information, and failed to supervise the advisor during the time period July 2018-September 2020.