UBS and former UBS Broker William Hobby put Claimants in Harm’s Way - Customer Claim filed by Mark Tepper law firm alleges
UBS Group AG Registered Ordinary Shares (UBS)
US:NYSE Investor Relations:
ubs.com/global/en/about_ubs/investor_relations.html
Company Research
Source: GlobeNewswire
FT. LAUDERDALE, Fla., April 08, 2019 (GLOBE NEWSWIRE) -- The law firm of Securities Fraud Attorney Mark A. Tepper has filed claim against UBS [NYSE: UBS] on behalf of a Georgia couple who entrusted their inheritance and retirement accounts to UBS and its broker William D. Hobby. The Claim for damages also seeks recovery of losses that the couple suffered. Among the Claim’s allegations is that UBS changed Claimants’ risk profiles to aggressive high risk, to match and conceal the broker’s unsuitable speculative high risk recommendations and trading in Claimants’ accounts. “UBS originally recorded Claimants’ risk profile as moderate,” the Claim alleges. “The broker’s disciplinary history at UBS shows a pattern of similar misconduct committed against other unsuspecting victims. If UBS exercised reasonable supervision, UBS would have detected and prevented violations of FINRA’s consumer protection rules,” the Claim contends. “The broker concentrated Claimants’ accounts in high risk de
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UBS
Sec Filings
- 4/16/24 - Form 6-K
- 4/2/24 - Form IRANNOTICE
- 3/28/24 - Form 6-K
- UBS's page on the SEC website