Erez Law is currently investigating UBS Financial Services Inc. broker Benjamin Walker (CRD# 4980276) related to UBS Yield Enhancement Strategy (YES) losses. He has been registered with UBS Financial Services Inc. in Nashville, Tennessee, since 2008. Public records indicate that he was a part of the Kirby, Calvani, and Walker team, now known as Family Office Partners; the principals are Kent Kirby, Dominic Calvani, and Benjamin Walker.
Benjamin Walker Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
December 2021. “Time frame: 2017-2019 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.” The customer is seeking $8 million in damages, and the case is currently pending. The complaint is regarding in-house wrap fees.
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 Benjamin Walker’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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