Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lawes (Lawes), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lawes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 02, 2024.
Client’s attorney alleges, inter alia, that investments strategy recommended to the client was not in his best interest 2023 damages unspecified.