DID KARLEEN MADELEINE HALLIWELL CAUSE YOU INVESTMENT LOSSES?
About Karleen Halliwell Of UBS Financial Services Inc.?
Karleen Halliwell (CRD #2581701) has a longstanding career in the financial services industry, currently affiliated with UBS Financial Services Inc. in Aventura, Florida, since February 2013. Prior to UBS, she was registered with Morgan Stanley and Citigroup Global Markets Inc., indicating her experience with prominent financial firms. Halliwell has passed three general industry/product exams, including the Series 7 and Series 31, and two multi-state securities law exams, Series 65 and Series 63. She is licensed in 31 U.S. states and territories and is registered with 10 Self-Regulatory Organizations (SROs).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Karleen Halliwell Customer Complaints and Reviews
Karleen Halliwell has one reported customer dispute:
- Customer Dispute (Settled 2021): Filed on July 21, 2020, this dispute involved allegations of misrepresentation and negligence concerning the recommendation of a mutual fund portrayed as a money market alternative. The alleged damages were $200,000, and the case was settled for $93,000. It was noted that the financial advisor was not a party to the settlement agreement, did not make any payment, and was not asked to contribute to the settlement amount.
Allegations Against Karleen Halliwell
- 2020 Allegation: A claim was made against Halliwell involving misrepresentation and negligence in recommending an investment product. The complaint, alleging financial damages due to inappropriate investment advice, was settled by her firm for $93,000. Halliwell contended that the market dislocation caused by the pandemic, which was beyond her control, led to the losses.
Karleen Halliwell Red Flags & Your Rights As An Investor
Of course, Karleen Halliwell 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 Karleen Halliwell at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Karleen Halliwell 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 Karleen Halliwell
If you have questions about UBS Financial Services Inc. and/or Karleen Halliwell 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.
Rate this Post
Loading...