Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan s Reisfield (Reisfield), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reisfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 03, 2024.
Time frame: March 1, 2024 to April 11, 2024\, Allegations: Client, through counsel, alleges that UBS did not act in the best interest of the client by allowing the transfer of certain UBS account assets to a retail banking account.
