Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hales (Hales), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hales recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 15, 2020.
February 03, 2020 to March 11, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Client alleges the financial advisor failed to liquidate his investments as instructed. The allege damages are estimated to be in excess of $5,000.00