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Shay Scruggs Of Rockefeller Financial And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Shay Scruggs of Rockefeller Financial?

Shay Scruggs (CRD #4173046) who is currently registered with Rockefeller Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Shay Scruggs was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Shay Scruggs Customer Complaint

Shay Scruggs 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 of certain investments, and that such investments resulted in principal losses. The customer complaint filed against Shay Scruggs’ former employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report.

Shay Scruggs Red Flags & Your Rights As An Investor

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

If you have questions about Rockefeller Financial, UBS Financial Services, and/or Shay Scruggs 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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