| Read Time: 2 minutes | News & Articles | UBS Financial Services Complaints |


Stephen Seiber Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Stephen Seiber of UBS Financial Services Inc.?

Stephen Seiber

Stephen Seiber (CRD #1432535) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in La Jolla, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Stephen Seiber was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Stephen Seiber Customer Complaint

Stephen Seiber has been the subject of at least one customer complaint that we know about recovering investment losses. The allegations made in the FINRA reported customer complaint for investment losses were made by family members that the advisor and his team failed to follow the instructions of the client and disbursed all the client’s assets to an unauthorized individual. The successor trustees and family members are now litigating the matter in a court proceeding which on information and belief is still pending.

Stephen Seiber Red Flags & Your Rights As An Investor

Of course, Stephen Seiber 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 Stephen Seiber at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Seiber 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Stephen Seiber

If you have questions about UBS Financial Services Inc. and/or Stephen Seiber 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