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Erez Law Investigates Former UBS Financial Services Inc. Broker George Vilfordi III

Posted on Tuesday, November 3rd, 2020 at 10:21 pm    

UBS Financial Services Inc.

Did you lose money investing with former UBS Financial Services Inc. broker George Vilfordi III (CRD# 704800)? Vilfordi has been registered with Ameriprise Financial Services, LLC in Dallas, Texas since 2018. Previously, Vilfordi was registered with UBS Financial Services Inc. in Dallas, Texas from 2009 to 2018. 

Vilfordi has been the subject of one customer complaint, according to his CRD report:

July 2020. “Time Frame: January 2, 2018 to November 19, 2018 The client alleges that the volatility of the investment was misrepresented to him.” The customer is seeking $501,704.47 in damages and the case is currently pending. The complaint was regarding a managed wrap account and an in-house money manager and took place while Vilfordi 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 Vilfordi’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.