| Read Time: 2 minutes | News & Articles | UBS Financial Services Complaints |


Furman Sheppard of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Furman Sheppard of UBS Financial Services Inc.?

Furman Sheppard (CRD #871936) who is currently registered with UBS Financial Services Inc. and located in Carmel, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Furman Sheppard was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Furman Sheppard Customer Complaints

Furman Sheppard has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer complaints settled in favor of the investors. The other customer complaint was denied by the brokerage firm and, to date, the customer has not taken any further action.

Allegations Against Furman Sheppard

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

  • The customer alleged the financial advisor failed to follow his instructions connection with the purchase of financial preferred stocks in his accounts.
  • The claimant alleged that Mr. Sheppard recommended unnecessary annuity switches.

Furman Sheppard Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services Inc.  and/or Furman Sheppard 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars