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

As a client, you entrust your money to a broker who you can trust. This is why it’s important to know all there is to know about the individual investing your funds. This information might help you decide whether or not to deal with a specific broker.

If you believe Tonya Rice has caused you financial damage, we may be able to assist you in addressing any concerns or problems you have.


Tonya Rice Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Tonya Rice of UBS Financial Services?

Tonya Rice (CRD #4998899) who is currently registered with UBS Financial Services and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations.

Tonya Rice Customer Complaint

Tonya Rice 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 her sales assistant misrepresented that she could take a rollover once per social security number and one per calendar year, when it should be once each 365 days or once per rolling calendar year. Tonya Rice’s customer complaint was denied and, to date, the customer has not taken any further action.

Tonya Rice Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services and/or Tonya Rice 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