DID KATHLEEN MCNICHOLAS ENTWISTLE CAUSE YOU INVESTMENT LOSSES?
Kathleen Entwistle Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Kathleen Entwistle Customer Complaints
Kathleen Entwistle has been the subject of 2 customer complaints that we know about to recover investment losses. The 2 customer complaints are pending further arbitration proceedings.
Allegations Against Kathleen Entwistle
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Both arbitration proceedings are for misrepresentations and unsuitable investment recommendations to invest in and hold and options overlay strategy known as the UBS Yield Enhancement Strategy (YES).
Kathleen Entwistle Red Flags & Your Rights As An Investor
Of course, Kathleen Entwistle 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 Kathleen Entwistle at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kathleen Entwistle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services Inc. 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 Morgan Stanley Due To Kathleen Entwistle
If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Kathleen Entwistle 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.