| Read Time: 2 minutes | UBS Financial Services Complaints |


Shailesh Negandhi Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Shailesh Negandhi of UBS Financial Services?

Shailesh Negandhi (CRD #4897340) who is currently registered with UBS Financial Services and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations.

Shailesh Negandhi Customer Complaint

Shailesh Negandhi has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Shailesh Negandhi’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report.

Shailesh Negandhi Red Flags & Your Rights As An Investor

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

File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Shailesh Negandhi

If you have questions about UBS Financial Services and/or Shailesh Negandhi 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