DID SUSAN MABEL MORSE CAUSE YOU INVESTMENT LOSSES?
Susan Morse Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct
About Susan Morse of UBS Financial Services Inc.?
Susan Morse (CRD #1129465) is a seasoned broker currently employed by UBS Financial Services Inc. in Melbourne, FL, where she has been registered since August 21, 2014. Prior to her current position, Morse has an extensive history of working with major firms like Morgan Stanley and Merrill Lynch. She is registered with several Self-Regulatory Organizations (SROs) and licensed in 29 U.S. states and territories. Morse has passed four general industry/product exams and one multi-state securities law exam. Her broad registration and multiple qualifications highlight her extensive experience and capability in the financial industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Susan Morse Customer Complaints and Reviews
Susan M. Morse has several disclosure events on her record:
- Customer Disputes (3 reported): These involve allegations such as unsuitability of investments and unauthorized trading.
- Judgments/Liens (3 reported): Morse has three tax liens against her, indicating significant financial liabilities.
Allegations Against Susan Morse
- Customer Dispute Allegations:
- Breach of fiduciary duty, unauthorized trading, and untimely execution, resulting in an arbitration award against her.
- Claims of unsuitable investment choices that reflect on her advisory capabilities.
- Financial Disclosures:
- Tax liens suggest ongoing financial management issues, with unresolved debts to state and federal tax agencies.
Susan Morse Red Flags & Your Rights As An Investor
Of course, Susan Morse did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Susan Morse at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Susan Morse has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Susan Morse
If you have questions about UBS Financial Services Inc. and/or Susan Morse and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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