Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ira Walker (Walker), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Walker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,000,000.00 on October 18, 2024.
Time frame: 1-Jan-2023 to 01-Oct-2024 \, Allegations: Plaintiff, who is going through a divorce, asserts that his wife, who is co-trustee of a trust for the benefit of their children and, with Plaintiff, maintains an account at the firm, was allowed to make an allegedly unauthorized transfer from the trust’s account to a beneficiary of the trust – their daughter, who also maintains an account at the firm.
