Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Halstedt (Halstedt), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Halstedt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 14, 2025.
Time Frame: September 6th, 2024 to February 19th, 2025\, What were the allegations against the individual? The client verbally alleges her instructions to not liquidate her equity positions were not followed.
