DID ANDREW JAMES ORTIZ CAUSE YOU INVESTMENT LOSSES?
Andrew Ortiz Formerly With UBS Financial Services Inc. And Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct
Who is Andrew Ortiz formerly with UBS Financial Services Inc.?
Andrew Ortiz (CRD #6834225) who was formerly registered with UBS Financial Services Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Andrew Ortiz was associated with Vanguard Marketing Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Andrew Ortiz Customer Complaint
Andrew Ortiz 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 Andrew Ortiz failed to liquidate an investment as instructed by the customer. Andrew Ortiz’s customer complaint was settled in favor of the investors.
Andrew Ortiz Red Flags & Your Rights As An Investor
Of course, Andrew Ortiz 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 Andrew Ortiz at UBS Financial Services Inc. and Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Andrew Ortiz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Vanguard Marketing Corporation 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 Andrew Ortiz
If you have questions about UBS Financial Services Inc., Vanguard Marketing Corporation and/or Andrew Ortiz 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.