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William Burton Shreve with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is William B. Shreve with UBS Financial Services Inc.?

William Shreve (CRD #852878) who is currently registered with UBS Financial Services Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., William Shreve was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In his career, William Shreve has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of William Shreve’s customer complaints resulted in an arbitration award against him and his employer. Two of William Shreve’s for customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against William Shreve’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct.

Allegations Against William Shreve

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

  • Claimant alleged unauthorized transactions, securities fraud, and common law fraud related to options trading in an arbitration proceeding that resulted in an arbitration award in the investor’s favor.
  • Claimant alleged failure to liquidate securities as instructed.
  • Claimant alleged William Shreve made misrepresentations and unsuitable investment recommendations related to an investment in an options overlay strategy known as the UBS Yield Enhancement Strategy.

William Shreve Red Flags & Your Rights As An Investor

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