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DID FRANCIS XAVIER AMSLER CAUSE YOU INVESTMENT LOSSES?

Francis Amsler of Rockefeller Capital Management And Formerly With UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct

Who is Francis Amsler of Rockefeller Capital Management?

Francis Amsler (CRD #2526813) who is currently registered with Rockefeller Capital Management and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Rockefeller Capital Management, Francis Amsler was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Francis Amsler Customer Complaints

Francis Amsler has been the subject of 14 customer complaints that we know about to recover investment losses.  Four of Francis Amsler’s customer complaints resulted in Awards in favor of investors. Seven of Francis Amsler’s 14 customer complaints were settled in favor of investors. Two of Francis Amsler’s complaints were denied and, to date, the customers have not taken any further action.  There is currently 1pending customer complaints filed against Francis Amsler’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct.

Allegations Against Francis Amsler.

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

  • Unsuitable and misrepresentations with respect to recommendations to invest in and hold and options overlay strategy.
  • Francis Amsler was the subject of a customer complaint against his member firm for breach of fiduciary duty, negligence, fraud, breach of contract, violation of the federal securities laws and the Texas securities act that went to arbitration in resulted in an award in favor of the investor in the amount of $975,626.
  • Francis Amsler was the subject of a customer complaint against his member firm in connection with unsuitable investment recommendations and misrepresentations related to and options overlay strategy which resulted in an arbitration award of $1,181,717.
  • The financial advisor was the subject of an arbitration award related to recommendations that the customer invest in the Yield Enhancement Strategy (Yes) which resulted in an arbitration award in favor of the customer in the amount of $1,184,211.
  • Francis Amsler was the subject of a customer complaint against his member firm alleging breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the federal and state securities laws in connection with option transactions resulting in the award in the amount of $749,555.
  • UBS Financial Services settled 7 arbitration/complaints were Mr. Amsler’s allegedly made unsuitable investment recommendations and misrepresentations related to and options overlay strategy. The total amount of the settlement succeeded $8 million.

Francis Amsler Red Flags & Your Rights As An Investor

Of course, Francis Amsler 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 Francis Amsler at Rockefeller Capital Management and Formerly with UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Francis Amsler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Capital Management and 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 Rockefeller Capital Management Due To Francis Amsler

If you have questions about Rockefeller Capital Management and UBS Financial Services Inc. and/or Francis Amsler 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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