DID KELLEY SUE EDWARDS CAUSE YOU INVESTMENT LOSSES?
About Kelley Edwards of UBS Financial Services?
Kelley Edwards (CRD #4513366) has been employed with UBS Financial Services Inc. in Kansas City, Missouri (CRD# 8174) since April 2002. She is registered with 10 Self-Regulatory Organizations (SROs) and licensed in 6 U.S. states and territories. Edwards has passed two general industry/product exams and two multi-state securities law exams but holds no principal/supervisory exams or professional designations. Her consistent long-term affiliation with UBS Financial Services demonstrates stability in her career. The broker’s industry exams include the Securities Industry Essentials Examination and the General Securities Representative Examination.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kelley Edwards Customer Complaints and Reviews
Kelley S. Edwards has one customer dispute reported:
- Customer Dispute (2020): A trustee alleged that instructions to make investment purchases for a 401(k) plan were not followed, leading to claimed damages of $17,500. The complaint was received on August 10, 2020, and settled on October 9, 2020, with a settlement amount of $17,894.03. Edwards did not contribute personally to the settlement. The issue arose from a misunderstanding during a firm policy transition and the shift to remote work due to the COVID-19 pandemic, which caused delays in trade execution.
Allegations Against Kelley Edwards
2020 Allegation: The trustee’s complaint involved failure to execute instructed trades for a 401(k) plan, attributed to delays in understanding new firm policies and operational disruptions during the transition to remote work. The settlement sought to cover the review time and lost earnings, although the actual lost earnings were reported to be less than $1,000.
Kelley Edwards Red Flags & Your Rights As An Investor
Of course, Kelley Edwards 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 Kelley Edwards at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Kelley Edwards has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 Due To Kelley Edwards
If you have questions about UBS Financial Services and/or Kelley Edwards 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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