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Anthony Brookfield Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Anthony Brookfield of UBS Financial Services?

Anthony Brookfield (CRD #2207841) who is currently registered with UBS Financial Services and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Anthony Brookfield was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Anthony Brookfield Customer Complaints

Anthony Brookfield has been the subject of 3 customer complaints that we know about.  All of Anthony Brookfield’s customers’ complaints were denied and, today, the customers have not taken any further action.

Allegations Against Anthony Brookfield

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

  • Anthony Brookfield’s allegedly made unsuitable investment recommendations.
  • The client alleged the investments recommended by Anthony Brookfield were not appropriate given their preference for straight-forward and relatively conservative investments.

Anthony Brookfield Red Flags & Your Rights As An Investor

Of course, Anthony Brookfield 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 Anthony Brookfield at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Anthony Brookfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Anthony Brookfield

If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Anthony Brookfield 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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