Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $511,000.00 on October 17, 2022.
Time Frame: October 29th 2021 to November 15th, 2021.\, What were the allegations against the individual? The client alleges his instructions to transfer shares of his security from his trust account at Fidelity to his trust account at UBS, was not followed.