DID JOSEPH SAM BERGAMO CAUSE YOU INVESTMENT LOSSES?
Joseph Bergamo Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct
Who is Joseph Bergamo of UBS Financial Services?
Joseph Bergamo (CRD #3050595) who is currently registered with UBS Financial Services and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations.
Joseph Bergamo Customer Complaint
Joseph Bergamo 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 Joseph Bergamo failed to make her account conservative as requested and did not separate funds to meet tax liabilities as requested. The client further alleged her financial advisor assured her the account was conservative. Joseph Bergamo’s customer complaint was settled in favor of the investors.
Joseph Bergamo Red Flags & Your Rights As An Investor
Of course, Joseph Bergamo 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 Joseph Bergamo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Bergamo 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 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 UBS Financial Services Due To Joseph Bergamo
If you have questions about UBS Financial Services and/or Joseph Bergamo 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.