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Brian Ballard Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Brian Ballard of UBS Financial Services?

Brian Ballard (CRD #2131677) who is currently registered with UBS Financial Services and located in South Ogden, Utah is a subject of one of our many securities industry sales practice abuse investigations.

Brian Ballard Customer Complaints

Brian Ballard has been the subject of 2 customer complaints that we know about.  Both of Brian Ballard’s 2 customer complaints were settled in favor of investors.

Allegations Against Brian Ballard

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

  • Claimant alleged, inter alia, that Brian Ballard recommended unsuitable Lehman stock.
  • Claimant alleged Brian Ballard failed to execute her instructions to liquidate positions in her PACE Select funds held in her IRA and Trust accounts.

Brian Ballard Red Flags & Your Rights As An Investor

Of course, Brian Ballard 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 Brian Ballard at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Ballard 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 Brian Ballard

If you have questions about UBS Financial Services and/or Brian Ballard 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 $160 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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