Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hall (Hall), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 19, 2021.
Time Frame: August 25, 2020\, \, What were the allegations against the individual? \, \, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.