Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Shreve (Shreve), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shreve 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 $234,448.00 on May 13, 2020.
Time Frame: February 24, 2020 to March 2, 2020 \<char_lb_r>\, The attorney representing the estate alleges a failure to liquidate securities as instructed.