Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cox (Cox), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cox recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $79,331.92 on August 07, 2024.
Time Frame: August 2nd, 2024 to August 7th, 2024\, \, What were the allegations against the individual? \, ALLEGATIONS – The client alleges that the Financial Advisor failed to follow instructions to liquidate positions.
