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Roy Tonning Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Roy Tonning of UBS Financial Services?

Roy Tonning (CRD #5494420) who is currently registered with UBS Financial Services and located in Ponte Vedra, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Roy Tonning was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Roy Tonning Customer Complaints

Roy Tonning has been the subject of 2 customer complaints that we know about. One of Roy Tonning’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Roy Tonning’s alleged misconduct.

Allegations Against Roy Tonning

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

  • The customers alleged unauthorized trading and misrepresentation by Roy Tonning.
  • Claimant’s counsel alleged Roy Tonning’s unsuitability and misrepresentation regarding an options overlay strategy investment.

Roy Tonning Red Flags & Your Rights As An Investor

Of course, Roy Tonning 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 Roy Tonning at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Roy Tonning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith 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 UBS Financial Services Due To Roy Tonning

If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or Roy Tonning 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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