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Marc Laborde Of Rockefeller Financial And Formerly With UBS Financial Services Has 13 Customer Complaints For Alleged Broker Misconduct

Who is Marc Laborde of Rockefeller Financial?

Marc Laborde (CRD #4975479) who is currently registered with Rockefeller Financial and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Marc Laborde was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Marc Laborde Customer Complaints

Marc Laborde has been the subject of 13 customers’ complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Marc Laborde’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 11 pending customers’ complaints filed against UBS Financial Services for investment losses caused by Marc Laborde’s alleged misconduct.

Allegations Against Marc Laborde

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

  • The client alleged his financial advisors invested his money in a super high risk strategy. The client further alleged that the risks were not disclosed to them allegedly by Marc Laborde.
  • Claimants’ counsel alleged Marc Laborde’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.
  • Attorney alleged his client was pitched an unsuitable options overlay strategy which was a conflict of interest and the recommendation by Marc Laborde failed to disclose the risks associated with the overall strategy.

Marc Laborde Red Flags & Your Rights As An Investor

Of course, Marc Laborde 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 Marc Laborde at Rockefeller Financial and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Marc Laborde has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial 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 Rockefeller Financial Due To Marc Laborde

If you have questions about Rockefeller Financial, UBS Financial Services, and/or Marc Laborde 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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