It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn more about a broker’s background via resources such as prior employment history, regulatory disciplinary actions, and consumer complaints.
This crucial information may lead to queries about Charlene Causey and the financial losses you may have incurred. We’ll do our best to answer any questions you have.
DID CHARLENE FRANCIS CAUSEY CAUSE YOU INVESTMENT LOSSES?
Charlene Causey Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct
Who is Charlene Causey of UBS Financial Services Inc.?
Charlene Causey (CRD #1386090) who is currently registered with UBS Financial Services Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations.
Charlene Causey Customer Complaint
Charlene Causey 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 Charlene Causey failed to file client’s instruction with respect to sale of apple Stock. Charlene Causey’s customer complaint was settled in favor of the investor.
Charlene Causey Red Flags & Your Rights As An Investor
Of course, Charlene Causey 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 Charlene Causey at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charlene Causey 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 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 Charlene Causey
If you have questions about UBS Financial Services Inc. and/or Charlene Causey 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.