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Mike Persia Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Mike Persia of UBS Financial Services Inc.?

Mike Persia (CRD #712234) who is currently registered with UBS Financial Services Inc. and located in Beaumont, Texas is a subject of one of our many securities industry sales practice abuse investigations.

Mike Persia Customer Complaints

Mike Persia has been the subject of 2 customer complaints that we know about. Mike Persia’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Mike Persia

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 alleges the strategy by Mike Persia was not suitable based on his conservative risk tolerance.
  • Client alleges that he was unaware that he purchased a variable annuity contract and that he was not advised of the contingent deferred sales charge applicable to that contract by Mike Persia. Client requests to surrender the contract without imposition of a contingent deferred sales charge.

Mike Persia Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services Inc. and/or Mike Persia 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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