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Alexander Phillips Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Alexander Phillips of UBS Financial Services?

Alexander Phillips (CRD #1730948) who is currently registered with UBS Financial Services and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations.

Alexander Phillips Customer Complaints

Alexander Phillips has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Alexander Phillips’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Alexander Phillips’ alleged misconduct.

Allegations Against Alexander Phillips

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Alleged Alexander Phillips’ failure to follow instructions to timely execute.
  • The client alleged he told Alexander Phillips that he wanted to be in a defensive position and he was surprised to discover he was not as represented.

Alexander Phillips Red Flags & Your Rights As An Investor

Of course, Alexander Phillips 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 Alexander Phillips at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Alexander Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services also raises questions about the brokerage firms’ 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 Due To Alexander Phillips

If you have questions about UBS Financial Services and/or Alexander Phillips 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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