Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Westerman (Westerman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Westerman 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 $10,000.00 on December 06, 2022.
Time Frame: September 6th, 2022 to September 26th, 2022\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not follow his instructions by liquidating his account, in a timely manner, in order to move control of his Donor Advised Fidelity fund to himself.