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John Fulton Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct

Who is John Fulton of UBS Financial Services?

John Fulton (CRD #2481439) who is currently registered with UBS Financial Services and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations.

John Fulton Customer Complaints

John Fulton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Fulton’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by John Fulton’s alleged misconduct.

Allegations Against John Fulton

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

  • Clients alleged John Fulton’s poor performance, excessive trading, failure to follow instructions and breach of fiduciary duty.
  • Claimant’s counsel alleged John Fulton’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.
  • The client alleged his financial advisors placed him in structured products without a conversation explaining the characteristics of the investments and confirming the long term investment objective and potential liquidity requirements allegedly made by John Fulton.

John Fulton Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services and/or John Fulton 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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