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Ajay Gupta Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Ajay Gupta formerly with UBS Financial Services Inc.?

Ajay Gupta (CRD #4294634) who was formerly registered with UBS Financial Services Inc. and located in La Jolla, California is a subject of one of our many securities industry sales practice abuse investigations.

Ajay Gupta Customer Complaint

Ajay Gupta has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Ajay Gupta breached his fiduciary duty, committed negligence, and violated state securities laws in connection with the investments in conservation easements.  The customer complaint filed against Gupta Wealth Management for investment losses caused by the alleged misconduct is pending as of the date of this report.

Ajay Gupta Red Flags & Your Rights As An Investor

Of course, Ajay Gupta did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ajay Gupta at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Gupta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Ajay Gupta

If you have questions about UBS Financial Services Inc. and/or Ajay Gupta and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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