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Samuel Humphreys Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Samuel Humphreys of UBS Financial Services?

Samuel Humphreys (CRD #820181) who is currently registered with UBS Financial Services Inc. and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations.

Samuel Humphreys Customer Complaints

Samuel Humphreys has been the subject of 3 customer complaints that we know about. One of Samuel Humphreys’ 3 customer complaints resulted in an arbitration award in favor of investors. Two of Samuel Humphreys’ customers’ complaints were denied and the customers did not take any further action.

Allegations Against Samuel Humphreys

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

  • Client alleged that Samuel Humphreys informed him that no taxes would be required if he sold the zero coupon bonds that he owned and had been paying taxes on them each year since obtaining them. IRS informed client he had to report and is now charging interest and penalties.
  • The client alleged Samuel Humphreys’ made misrepresentations to him on how the annuity works.

Samuel Humphreys Red Flags & Your Rights As An Investor

Of course, Samuel Humphreys 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 Samuel Humphreys at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Samuel Humphreys 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 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 Inc. Due To Samuel Humphreys

If you have questions about UBS Financial Services Inc. and/or Samuel Humphreys 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 $125 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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