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Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Dwight West of UBS Financial Services?

Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations.

Dwight West Customer Complaints

Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Dwight West

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

  • Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate.
  • The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities.

Dwight West Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services and/or Dwight West 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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