DID JEFFREY SCOTT BEYER JR CAUSE YOU INVESTMENT LOSSES?
Jeffrey Beyer Jr Formerly With UBS Financial Securities Corporation was fired on September 30, 2024, following allegations that he had violated company compliance policies
Who is Jeffrey Beyer Jr formerly with UBS Financial Securities Corporation?
Jeffrey Beyer Jr (CRD #5731082) who was formerly registered as a broker with UBS Financial Securities Corporation and located in Newtown, Pennsylvania, 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.
Jeffrey Beyer Jr Employment History and Termination
Jeffrey Scott Beyer Jr. has been active in the financial industry since 2009, working with firms such as the USA Financial Securities Corporation, United Planners’ Financial Services of America, and BCG Securities, Inc. Beyer’s history of employment also includes his own firm, Paladin Retirement Advisors, where he has been involved in the sales and servicing of insurance products.
He has passed two general industry/product exams and two multi-state securities law exams, including the Series 6 and Series 65 exams. Beyer has operated as an investment adviser representative and owner of Paladin Retirement Advisors, engaging in insurance and financial advisory roles. His recent termination from AE Wealth Management highlights the importance of adherence to compliance policies in his field.
He was terminated by AE Wealth Management, LLC on September 30, 2024, following alleged violations of the company’s Compliance Policy Manual. This termination underscores the importance of regulatory compliance in financial advisory roles.
Negative Disclosures Summary:
- Customer Dispute:
- Closed Dispute (Received June 28, 2018): A client at USA Financial Securities alleged that Beyer’s failure to mail alternative investment options resulted in market loss and additional fees on a variable annuity. Beyer denied these allegations, emphasizing that he had only taken over servicing the client’s account and had offered meetings and discussions as alternatives. The complaint was ultimately closed without action.
- Employment Termination:
- Termination from AE Wealth Management (September 30, 2024): Beyer was terminated for allegedly breaching AE Wealth Management’s Compliance Policy Manual, though specific details of the policy breach were not disclosed.
Allegations and Accusations Summary:
- Customer Service and Investment Options: Beyer’s handling of the customer dispute from 2018 involved accusations of failing to provide adequate alternative investment options by mail, which the customer claimed caused financial losses. Beyer countered this, stating that he offered to meet with the customer and discuss options over the phone.
- Compliance Violation Leading to Termination: His recent termination at AE Wealth Management highlights compliance concerns, as he was discharged for not adhering to company policy guidelines, a serious matter for those evaluating his professional reliability in financial advisement roles.
Jeffrey Beyer Jr 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 Jeffrey Beyer Jr is a red flag which should put all current and former customers of Jeffrey Beyer Jr at UBS Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Beyer Jr engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Securities Corporation 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 Securities Corporation Due To Jeffrey Beyer Jr
If you have questions about UBS Financial Securities Corporation and/or Jeffrey Beyer Jr 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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