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


Stuart Spence Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Stuart Spence formerly with UBS Financial Services?

Stuart Spence (CRD #431759) who was formerly registered with UBS Financial Services and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations.

Stuart Spence Customer Complaints

Stuart Spence has been the subject of 2 customer complaints that we know about. One of Stuart Spence’s 2 customer complaints was settled in favor of investors. One of Stewart Spence’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Stuart Spence

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

  • Claimants allege negligence, fraud, breach of fiduciary duty and unsuitable investments in connection with their accounts made by Stuart Spence.
  • What were the allegations against the individual? The client alleges the investment purchased in the account by Stuart Spence was not suitable.

Stuart Spence Red Flags & Your Rights As An Investor

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

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