Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Sommo (Sommo), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sommo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 02, 2024.
Time frame: TBD\, \, Allegations: Claimants allege that the FA recommended unsuitable and speculative investments, including master limited partnerships in energy sector, when claimants were conservative investors.
