Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Hiller (Hiller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hiller 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 $968,450.00 on March 05, 2025.
Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.
