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


Shaun Mutch Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Shaun Mutch of UBS Financial Services?

Shaun Mutch (CRD #4641081) who is currently registered with UBS Financial Services and located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations.

Shaun Mutch Customer Complaint

Shaun Mutch has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged his financial advisor did not follow his instructions regarding his IRA distributions and therefore were not done properly. Shaun Mutch’s customer complaint was settled in favor of the investors.

Shaun Mutch Red Flags & Your Rights As An Investor

Of course, Shaun Mutch 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 Shaun Mutch at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shaun Mutch 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 Shaun Mutch

If you have questions about UBS Financial Services and/or Shaun Mutch 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