| Read Time: 2 minutes | News & Articles | Stifel Nicolaus Complaints | UBS Financial Services Complaints |


Robert Turner, Jr. Formerly With Stifel, Nicolaus & Company, Incorporated and UBS Financial Services Inc. Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Robert Turner, Jr. formerly with Stifel, Nicolaus & Company, Incorporated?

 Robert Turner, Jr.

Robert Turner, Jr. (CRD #2113736) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Waco, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Robert Turner, Jr. was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Turner’s had his own regulatory problems. On January 27, 2023, he consented to a permanent bar of any further association with any member of FINRA in any capacity in the future for participating in private securities transactions without providing prior written notice to his member firm.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Robert Turner, Jr. Customer Complaints

Robert Turner, Jr. has been the subject of 7 customer complaints that we know about to recover investment losses. All 7 customer complaints was settled by UBS Financial Services favor of the investors.

Allegations Against Robert Turner, Jr.

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

  • Misrepresentation that customer would receive a guaranteed rate of return.
  • Fraudulent scheme.
  • Selling away.
  • Theft

Robert Turner, Jr. Red Flags & Your Rights As An Investor

Of course, Robert Turner, Jr. 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 Turner, Jr. at Stifel, Nicolaus & Company, Incorporated and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Turner, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

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.

Need Legal Help? Let’s talk.

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

File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Robert Turner, Jr.

If you have questions about Stifel, Nicolaus & Company, Incorporated, UBS Financial Services Inc. and/or Robert Turner, Jr. 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 $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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars