Unauthorized Trades with UBS Financial Services Inc. Broker Charles Lawson

UBS Financial Services Inc.

There are options for clients of UBS Financial Services Inc. broker Charles Lawson (CRD# 5452641), who is accused of unauthorized trades. He has been registered with UBS Financial Services Inc. in San Jose, California, since 2010. 

Charles Lawson Customer Complaints

He has been the subject of two customer complaints between 2020 and 2022, according to his CRD report:

December 2022. “Time frame: January 2021- April 2022 Allegations: Claimants allege their financial advisor made an unauthorized purchase of a mutual fund and incorrectly advised that the fund would provide a hedge for general equity market exposure.” The customer is seeking $286,779 in damages, and the case is currently pending. The complaint was related to mutual fund losses, and it took place while he was registered with UBS Financial Services Inc.

June 2020. “Time Frame: December 16, 2019 to April 23, 2020 The client alleges he was placed in a questionable investment product. The client further alleges he was not told his investment would be callable thus not being informed of all the relevant information to make a purchase.” The customer sought $6,714.61 in damages, and the case was settled for $3,000. The complaint was related to certificate of deposits, and it took place while he was registered with UBS Financial Services Inc.

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 Charles Lawson’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.