Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009.
West has been the subject of five customer complaints between 1986 and 2018, according to his CRD report. One recent complaint is regarding:
May 2018. “2008-2017 Elderly Client alleges, through her POA and son, that her FA engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate.” The customer is seeking $500,000 in damages and the case is currently pending. This complaint is regarding investments in the customer’s individual retirement account (IRA).
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 West’s 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.