Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Morse (Morse), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Morse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint with a damage request of $50,000.00 on March 26, 2024.
Claimants alleges, inter alia, that the annuity investment in his account was unsuitable 2013-2022.