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James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is James C. Kelly with UBS Financial Services, Inc.?

James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services, Inc. Broker Misconduct

In his career, James Kelly has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending.

Allegations Against James Kelly

The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account.

James Kelly Red Flags & Your Rights as An Investor

Of course, James Kelly 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 James Kellyat 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 James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at UBS Financial Services Inc. about James Kelly also raises questions about its 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 James Kelly 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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