September 2021 – Los Angeles, CA
According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute.
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 April of 2020, a customer of UBS filed FINRA case #20-01099, alleging unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overly strategy. The seeks damages of $600,000 in this currently pending matter.
FINRA records indicate that Calvert has been with UBS Financial in Los Angeles, CA since September of 2008. Before that time, he was registered with Lehman Brothers, Inc. and Goldman, Sachs, & Co.
If you had an account with William Calvert that suffered losses, you may be entitled to collect damages from his prior 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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