Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sherry Rowland (Rowland), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rowland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.
Time Frame: February 20, 2020 to March 9, 2020 \<char_lb_r>\, The client alleges his instructions to enter his trades were not followed.