| Read Time: 2 minutes |

DID ROBERT NATHAN SCHULTZ CAUSE YOU INVESTMENT LOSSES?

Robert Schultz Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Robert Schultz of Wells Fargo Clearing Services?

Robert Schultz (CRD #1769129) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Robert Schultz was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Robert Schultz Customer Complaints

Robert Schultz has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Schultz’s 2 customer complaints was settled in favor of investors. One of Robert Schultz’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Robert Schultz

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

  • Attorney for client complained that client did not have the need to invest in aggressive growth vehicles, which resulted in losses, as advised allegedly by Robert Schultz in an effort to generate commissions.
  • Claimants alleged Robert Schultz’s unsuitable and excessive trading, commissions and fees in the accounts.

Robert Schultz Red Flags & Your Rights As An Investor

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

If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Robert Schultz 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.

Author Photo

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 $140 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...