June 2020- San Antonio, TX
The FINRA records of Daniel Rebmann, a broker currently employed by UBS Financial Services, disclose two customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March of 2016 FINRA case 16-00648 was filed by a customer UBS Financial Services alleging that structured products were purchased in their accounts without authorization. This case settled for $25,000.
In February 2014 a customer of Merrill Lynch, Rebmann’s previous employer, filed FINRA case 14-00517 alleging unsuitable investment recommendations and misrepresentation and omission of material facts. The case settled for $35,000.
Rebmann has been employed with UBS Financial Services since March of 2011. Before that time he was with Merrill Lynch, Pierce, Fenner & Smith. If you have questions about an account handled by Daniel Rebmann ,call for a no charge consultation .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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