| Read Time: 2 minutes | UBS Financial Services Complaints |

It is critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn a lot of information about the individual’s background, including his or her past employment history, regulatory disciplinary actions, and customer complaints, through a number of sources.

Important facts about Cory Durham and investment losses you incurred may be the result of this information. We’ll do everything we can to answer any questions you have.


Cory Durham Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Cory Durham of UBS Financial Services Inc.?

Cory Durham (CRD #5130512) who is currently registered with UBS Financial Services Inc. and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.  

Cory Durham Customer Complaints

Cory Durham has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Cory Durham’s customer complaints resulted in an Award in favor of investor. One of Cory Durham’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Cory Durham

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

  • Breach of contract and warranties, promissory estoppel, violation of that the Texas Deceptive trayed practices -Consumer Protection Act, Texas Securities Act, fraud, breach of fiduciary duty, negligence, and gross negligence, misrepresentation/omission related to the UBS Yield Enhancement Strategy resulting in an arbitration award in favor of customer.
  • Account was not managed consistent with customers stated objectives and risk tolerance, nor were the decisions made and guidance provided in customer’s best interest.

Cory Durham Red Flags & Your Rights As An Investor

Of course, Cory Durham 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 Cory Durham at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cory Durham 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 Cory Durham

If you have questions about UBS Financial Services Inc. and/or Cory Durham 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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