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Richard Held Of UBS Financial Services Inc. Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Richard Held of UBS Financial Services Inc.?

Richard Held

Richard Held (CRD #600760) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Richard Held was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Richard Held Customer Complaints

Richard Held has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an arbitration award in favor of the investor.  UBS Financial Services settled 3 other customer in favor of the investors. The brokerage firm denied the other customer complaint and no further action was taken.

Allegations Against Richard Held

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

  • Undisclosed fees.
  • Unauthorized trading.
  • Negligence and negligent misrepresentation.
  • Breach of fiduciary duty.
  • Violation of the Ohio Securities Act.

Richard Held Red Flags & Your Rights As An Investor

Of course, Richard Held 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 Richard Held at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Held 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Richard Held

If you have questions about UBS Financial Services Inc. and/or Richard Held 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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