DID JAMES ARTHUR SCHWARZ CAUSE YOU INVESTMENT LOSSES?
James Schwarz Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct
Who is James Schwarz of UBS Financial Services Inc.?
James Schwarz (CRD #416535) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Short Hills, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., James Schwarz was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Schwarz Customer Complaints
James Schwarz has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints were settled by Citigroup Global Markets in favor of the investors for James Schwarz’s alleged misconduct. Another customer complaint was recently denied by UBS Financial Services and to date, investor has not taken any further action.
Allegations Against James Schwarz
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable recommendation to overconcentrate client’s portfolio and preferred stocks.
- Unsuitability, omissions of material facts, breach of fiduciary duty and conflict of interest.
- Fraud.
- Unsuitable recommendations to invest in preferred stocks.
James Schwarz Red Flags & Your Rights As An Investor
Of course, James Schwarz 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 James Schwarz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether James Schwarz 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 James Schwarz
If you have questions about UBS Financial Services Inc. and/or James Schwarz 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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