August 2021 – Lincoln, NE
According to publicly available records of Jason M. Dworak , a broker employed with UBS Financial in Lincoln, NE, discloses a million dollar award to a UBS customer alleging damages as a result of investing in the UBS Yield Enhancement Strategy program.
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 3/2021 a FINRA arbitration panel awarded UBS customers $1,044,242. The customers alleged that Dworak violated the Nebraska Securities Act and committed professional negligence by recommending investments in the UBS Yield Enhancement Strategy program.
Dworak has been employed by UBS since 12/2008.
If you had an account with Jason M. Dworak that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your options.
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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