UBS Financial Services Inc. Broker James Hilton Sr. Investment Loss Options

UBS Financial Services Inc.

UBS Financial Services Inc. broker James Hilton Sr. (CRD# 1253959) regarding is accused of annuity losses. He has been registered with UBS Financial Services Inc. in Newport, Rhode Island, since 2013. 

James Hilton Sr. Customer Complaints

He has been the subject of two customer complaints between 2008 and 2023, according to his CRD report. The most recent complaint was regarding: 

October 2023. “Time frame: Unspecified Allegations: Claimant alleges her financial advisor’s recommendation that she remain invested in equities instead of selling to cash was unsuitable. Claimant further alleges that her financial advisor purchased an annuity without her knowledge and subsequently borrowed against the annuity.” The case is currently pending. The complaint is regarding equities investment losses, 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 James Hilton Sr.’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.