DID JOHN F SOFRANKO III CAUSE YOU INVESTMENT LOSSES?
John Sofranko, III Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct
Who is John Sofranko, III of UBS Financial Services Inc.?
![John Sofranko, III](https://www.secatty.com/wp-content/uploads/2023/03/broker-investment-losses.jpg)
John Sofranko, III (CRD #4658914) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Sewickley, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., John Sofranko, III 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.
John Sofranko, III Customer Complaint
John Sofranko, III has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that John Sofranko made an improper hold recommendation, in response to the customer’s request for liquidation of his portfolio to pay down his margin line. The FINRA arbitration proceeding was recently filed against UBS Financial Services for the advisors at Legend misconduct and is still pending.
John Sofranko, III Red Flags & Your Rights As An Investor
Of course, John Sofranko, III 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 John Sofranko, III at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Sofranko, III 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?
![best investment fraud lawyers](https://www.secatty.com/wp-content/uploads/2020/10/RobertandAdam-in-office-1.jpg)
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 John Sofranko, III
If you have questions about UBS Financial Services Inc. and/or John Sofranko, III 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.