Investment Loss Options for Clients of UBS Financial Services Inc. Broker Aileen Schruth

UBS Financial Services Inc.

Erez Law is currently investigating UBS Financial Services Inc. broker Aileen Schruth (CRD# 4805869) regarding investment losses related to equities. She has been registered with UBS Financial Services Inc. in New York, New York, since 2010. 

Aileen Schruth Customer Complaints

She has been the subject of one customer complaint, according to her CRD report:

July 2022. “Time Frame: May 21, 2021 to July 1, 2022 What were the allegations against the individual? The POA alleges he did not provide instructions to execute a trade.” The case was settled for $301,883.80. The complaint was regarding equities investment losses. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Aileen Schruth’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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