Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Sierer (Sierer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sierer 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 $20,000.00 on March 18, 2020.
Time Frame: April 27, 2018 to March 18, 2018 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges unauthorized trading.