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DID ANN TRAINOR CAUSE YOU INVESTMENT LOSSES?

Ann Trainor Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Ann Trainor of UBS Financial Services Inc.?

Ann Trainor (CRD #4020368) who is currently registered with UBS Financial Services Inc. and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

Ann Trainor Customer Complaints

Ann Trainor has been the subject of2 customer complaints that we know about. Both of Ann Trainor’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Ann Trainor

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

  • Client alleged Ann Trainor’s investment strategy was considered “gross negligence” and investments were not consistent with his time horizon.
  • The client alleged that Ann Trainor’s brokerage fee of his credit line was not explained to him as he did not know it could be so high. The client further alleged he wanted out of the credit line without the fee.

Ann Trainor Red Flags & Your Rights As An Investor

Of course, Ann Trainor 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 Ann Trainor at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ann Trainor 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 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 Inc. Due To Ann Trainor

If you have questions about UBS Financial Services Inc. and/or Ann Trainor 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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