DID GARTH ALLAN CAUSE YOU INVESTMENT LOSSES?
Garth Allan of UBS Financial Services Inc. And Formerly With Wells Fargo Clearing Services LLC, Has A Customer Complaint For Alleged Broker Misconduct
Who is Garth Allan of UBS Financial Services Inc.?
Garth Allan (CRD #5294782) who is currently registered with UBS Financial Services Inc. and located in Newport Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Garth Allan was associated with UBS Financial Services Inc. and Wells Fargo Clearing Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Garth Allan Customer Complaint
Garth Allan has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the financial advisor did not invest his funds as instructed.
Garth Allan Red Flags & Your Rights As An Investor
Of course, Garth Allan 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 Garth Allan at UBS Financial Services Inc. and Wells Fargo Clearing Services LLC on alert to review carefully the activity and performance of their accounts and question whether Garth Allanhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Wells Fargo Clearing Services LLC 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 Garth Allan
If you have questions about UBS Financial Services Inc. and Wells Fargo Clearing Services LLC and/or Garth Allan 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.