Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker William Thompson (CRD# 6219056) regarding investment fraud. He has been registered with UBS Financial Services Inc. in Irvine, California since 2018.
William Thompson Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
April 2022. “Time Frame: March 28th 2022 to April 4th, 2022 The client alleges the FA panicked and made the wrong decision by fire selling some of his holdings with huge losses.” The customer is seeking $229,602 in damages and the case is currently pending. The complaint was regarding wrap account losses.
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 William Thompson’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.