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Stuart Sierer Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Stuart Sierer of UBS Financial Services?

Stuart Sierer (CRD #423614) who is currently registered with UBS Financial Services and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations.

Stuart Sierer Customer Complaints

Stuart Sierer has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  Both of Stuart Sierer’s 2 customer complaints were settled in favor of investors.

Allegations Against Stuart Sierer

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

  • Claimant alleged unsuitable recommendations, breach of fiduciary duty, fraud, and negligence in connection with the purchase of securities in her UBS account made by Stuart Sierer.
  • The client alleged unauthorized trading by Stuart Sierer.

Stuart Sierer Red Flags & Your Rights As An Investor

Of course, Stuart Sierer 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 Stuart Sierer at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Sierer 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 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 Due To Stuart Sierer

If you have questions about UBS Financial Services, and/or Stuart Sierer 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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