DID FRANCIS XAVIER AMSLER CAUSE YOU INVESTMENT LOSSES?
Francis Amsler of Rockefeller Capital Management And Formerly With UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct
About Francis Amsler of Rockefeller Capital Management?
Francis Amsler (CRD #2526813) has a detailed career in the financial industry, currently employed by and registered with Rockefeller Capital Management and Rockefeller Financial LLC in Houston, TX since September 4, 2020. Amsler has held registration with major firms, including UBS Financial Services and Merrill Lynch. Throughout his career, he has passed 2 principal/supervisory exams, 3 general industry/product exams, and 2 multi-state securities law exams. He is registered with 1 self-regulatory organization and licensed in 28 U.S. states and territories. Amsler’s extensive registration and passing of significant industry exams reflect his comprehensive involvement and expertise in securities and financial advising.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Francis Amsler Customer Complaints and Reviews
Francis Xavier Amsler has been involved in multiple disclosure events:
- Customer Dispute (14 Disclosures): Amsler has been associated with 14 disclosed customer disputes. Notable among these, a claim was settled where allegations included breach of fiduciary duty, negligence, and fraud, among others, with Amsler’s member firm settling for substantial amounts including compensatory and punitive damages.
Allegations Against Francis Amsler
- Allegations in Customer Disputes: Numerous allegations have been made against Amsler, including unsuitability, misrepresentation, breach of fiduciary duty, negligence, and fraud. These allegations typically pertain to recommendations to invest in and maintain positions in complex investment strategies such as options overlay strategies. The detailed outcomes often involve significant financial settlements or awards favoring the claimants, reflecting the serious nature of the accusations though without direct financial liability on Amsler’s part.
Francis Amsler Red Flags & Your Rights As An Investor
Of course, Francis Amsler 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 Francis Amsler at Rockefeller Capital Management and Formerly with UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Francis Amsler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Capital Management and UBS Financial Services Inc. also raises questions about the brokerage firms’ 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 Rockefeller Capital Management Due To Francis Amsler
If you have questions about Rockefeller Capital Management, UBS Financial Services Inc. and/or Francis Amsler 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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