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Donald J. Dever with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Donald J. Dever with UBS Financial Services Inc.?

Donald Dever (CRD #5317492) who is currently registered with UBS Financial Services Inc. and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Donald Dever was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In his career, Donald Dever has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Donald Dever’s customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Donald Dever’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct.

Allegations Against Donald Dever

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

  • Client alleged that transactions were executed in his account without his authority.
  • Claimant alleged that Donald Dever made misrepresentations and unsuitable recommendations with respect to an options overlay strategy known as the UBS-YES strategy.

Donald Dever Red Flags & Your Rights As An Investor

Of course, Donald Dever 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 Donald Dever at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Donald Dever has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about Donald Dever in such a short period also raises questions about 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.  

If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Donald Dever 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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