DID STEFAN D GERTSCH CAUSE YOU INVESTMENT LOSSES?
Stefan Gertsch was fired from UBS Financial Services Inc. in November 2024, due to alleged policy violations.
Who is Stefan Gertsch formerly with UBS Financial Services Inc.?
Stefan Gertsch (CRD #5284354) who was formerly registered as a broker with UBS Financial Services Inc. and located in Memphis, Tennessee 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.
Stefan Gertsch Employment History and Termination
Stefan D. Gertsch has over 15 years of experience in the securities industry, having worked as a registered broker for UBS Financial Services Inc. (2012-2024) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009-2012).
As of December 2024, he is currently registered with Kestra Private Wealth Services, LLC as an investment adviser and Kestra Investment Services, LLC as a registered broker both located in Memphis, Tennessee.
Stefan has passed two general industry/product exams and one multi-state securities law exam, allowing him to operate in 24 U.S. states and territories. He has no professional designations.
His tenure at UBS ended on November 6, 2024, with a termination due to alleged policy violations. Following an internal review, it was determined that he breached firm policies by allegedly accepting instructions from an unauthorized relative on a client account.
Negative Disclosures Summary
On Disclosure was noted on the report:
- Termination:
- Date: November 6, 2024.
- Employer: UBS Financial Services Inc.
- Allegation: Breached firm policies, including taking instructions from an unauthorized relative on a client account.
Stefan Gertsch 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 Stefan Gertsch is a red flag which should put all current and former customers of Stefan Gertsch at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Stefan Gertsch 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 Stefan Gertsch
If you have questions about UBS Financial Services Inc. and/or Stefan Gertsch 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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