| Read Time: 2 minutes | News & Articles |


William Hales Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is William Hales of UBS Financial Services Inc.?

William Hales

William Hales (CRD #4196648) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Cincinnati, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., William Hales 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.

William Hales Customer Complaint

William Hales has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to liquidate client’s investments as instructed. UBS Financial Services settled the customer dispute in favor of the investor.

William Hales Red Flags & Your Rights As An Investor

Of course, William Hales 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 William Hales at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Hales 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 William Hales

If you have questions about UBS Financial Services Inc. and/or William Hales 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