DID CASEU M ARUNDEL CAUSE YOU INVESTMENT LOSSES?
Casey Arundel was fired from UBS Financial Services Inc. on November 11, 2024 allegedly for unauthorized trading
Who is Casey Arundel formerly with UBS Financial Services Inc.?
Casey Arundel (CRD #4925418) who was formerly registered as a broker with UBS Financial Services Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Casey Arundel Employment History and Termination
Casey M. Arundel has over a decade of experience in the financial industry, having been previously employed as a registered broker with LPL Financial LLC (October 2013–February 2014), Merrill Lynch, Pierce, Fenner & Smith Inc. (February 2014–May 2015), and UBS Financial Services Inc. (May 2015–December 2024)
He passed four industry exams, including the Series 7 and Series 66, but no principal or supervisory qualifications. However, as of December 2024, he is not currently registered as a broker.
Mr. Arundel’s registration with UBS was terminated on November 11, 2024, following allegations that he traded without authorization in client accounts and failure to provide transparency during the firm’s investigation.
Allegations Against David Love
Casey M. Arundel has one reported disclosure event:
- Termination
- Date: November 11, 2024
- Employing Firm: UBS Financial Services Inc.
- Reason: Alleged unauthorized trading in client accounts and failure to provide transparency during the firm’s investigation.
- Product Type: Mutual Fund.
Casey Arundel Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Casey Arundel is a red flag which should put all current and former customers of Casey Arundel at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Casey Arundel 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 Casey Arundel
If you have questions about UBS Financial Services Inc. and/or Casey Arundel 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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