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Wendy Holmes with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Wendy Holmes with UBS Financial Services Inc.?

Wendy Holmes (CRD #2944190) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Wendy Holmes was associated with Credit Suisse Securities (USA) LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In her career, Wendy Holmes has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. There is currently one pending customer complaint filed against Wendy Holmes’ current employer UBS Financial Services Inc. for investment losses caused by her alleged misconduct.

Allegations Against Wendy Holmes

The allegations made in both of the FINRA reported arbitration claim and complaints for investment losses are that Wendy Holmes made misrepresentations and unsuitable recommendations to our clients to invest in and hold an options overlay strategy known as the UBS-YES Yield Enhancement Strategy. It is reported that well over 100 complaints relating to that strategy has been filed against UBS Financial Services, Inc.

Wendy Holmes Red Flags & Your Rights As An Investor

Of course, Wendy Holmes does 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 Wendy Holmes at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Wendy Holmes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about the UBS-YES Yield Enhancement Strategy also raises questions about its 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 Inc.

If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Wendy Holmes 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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