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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY

William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY

William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY

According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars.

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.

From August of 2019 until July of 2020, six FINRA cases were filed alleging among other things – unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.     These pending cases collectively allege damages of over $16.5 million dollars .

Cerf has been employed with UBS Financial Services, Inc. since July of 2015.   Before that time he was with Barclays Capital, Inc.  

If you have losses in an account handled by William Cerf, call to learn how you may be able to recover damages through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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