Articles Tagged with UBS FINANCIAL SERVICES INC.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blair Cannon (Cannon), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cannon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020  \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Shull (Shull), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shull recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $730,631.25  on March 23, 2020.

Shull was a subject of the customers\\u2019 complaint against his member firm that asserted the following causes of action: fraud; misrepresentation; unsuitability; unsuitable product; breach of fiduciary duty; negligence; and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Billingsley (Billingsley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Billingsley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 9, 2020 to March 19, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to match all of his accounts to low risk like one of his other accounts was not completed. The client further alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Breeden (Breeden), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Breeden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.

Client alleges mutual fund investment was misrepresented. 2019-2020 damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruse Brown (Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $250,000.00  on March 30, 2020.

Time frame: 2017-2018\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gordon Brown (Gordon Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gordon Brown 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 $286,582.00  on March 30, 2020.

Time Frame: March 13, 2020  \<char_lb_r>\, The client alleges her instructions to liquidate her accounts did not occur. She further alleges she was informed that the securities could instantly be sold

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Gonzalez (Gonzalez), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gonzalez 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 $415,000.00  on July 20, 2020.

Claimant alleges the recommendation to invest and hold PR municipal bonds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Burns (Burns), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Caban (Caban), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Caban 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 $40,000.00  on April 14, 2020.

Time frame: 2007-2018\<char_lb_r>\, Claimant’s Counsel allege their investment in a Puerto Rico closed-end fund was unsuitable, over-concentrated, and misrepresented as a safe investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Edwards (Edwards), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Edwards 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 $17,500.00  on August 10, 2020.

Time Frame: January 02, 2020 to May 31, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.

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