DID JOHN ROBERT NEAL CAUSE YOU INVESTMENT LOSSES?
John Neal Of Vanguard Marketing, Vanguard Advisers And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct
Who is John Neal of Vanguard Marketing?
John Neal (CRD #4939681) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing and Vanguard Advisers, John Neal was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
John Neal Customer Complaint
John Neal has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client faced substantial tax consequences from a transaction processed because the advisor did not disclose the tax consequences of moving money from one fund to another. John Neal’s customer complaint was denied and, to date, the customer has not taken any further action.
John Neal Red Flags & Your Rights As An Investor
Of course, John Neal 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 Neal at Vanguard Marketing, Vanguard Advisers, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Neal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers, and UBS Financial Services also raises questions about the brokerage firm’s 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 Vanguard Marketing Due To John Neal
If you have questions about Vanguard Marketing, Vanguard Advisers, UBS Financial Services, and/or John Neal 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.