There are options for customers of UBS Financial Services Inc. broker Harrison Hoyes (CRD# 5348427) who suffered investment losses. Hoyes has been registered with UBS Financial Services Inc. in Warren, New Jersey since 2013.
Hoyes has been the subject of one customer complaint, according to his CRD report:
December 2020. “Time frame: Starting on or about October 4, 2017 Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.” The customer is seeking $347,000 in damages and the case is currently pending. The complaint was regarding equities.
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 Hoyes’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.