DID WENDY HOLMES CAUSE YOU INVESTMENT LOSSES?
About Wendy Holmes of UBS Financial Services Inc.?
Wendy Holmes (CRD #2944190) is a registered financial advisor currently employed by UBS Financial Services Inc. since November 20, 2015, with registrations across 10 self-regulatory organizations (SROs) and 32 U.S. states and territories. Holmes has worked for eight different firms throughout her career, including Credit Suisse Securities and Citigroup Global Markets. She has passed two general industry/product exams and three multi-state securities law exams. Wendy Holmes’ employment history includes roles with notable firms such as Credit Suisse Securities and UBS Financial Services. Her exams include the Series 7 General Securities Representative Examination and the Securities Industry Essentials Exam.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Wendy Holmes Customer Complaints and Reviews
Holmes has one customer dispute disclosure on record. This disclosure is currently pending and involves the following key details:
- Customer Dispute Filed October 4, 2024
- Complaint: The claimant alleges unsuitability and misrepresentation related to recommendations to invest in an options overlay strategy (in-house wrap fee) between 2016-2019.
- Claimed Damages: $1,000,000
- Status: Pending under FINRA Arbitration with case no 24-02098.
Allegations Against Wendy Holmes
- The dispute involves accusations of unsuitability and misrepresentation from 2016-2019. Claimant’s counsel asserts that the broker recommended an unsuitable strategy and misrepresented aspects of the investment, allegedly resulting in significant financial loss.
- Status: The case is under review by FINRA Arbitration with $1,000,000 in claimed damages. No resolution has been made as of the filing date.
Wendy Holmes Red Flags & Your Rights As An Investor
Of course, Wendy Holmes 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 Wendy Holmes at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Wendy Holmes 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 Wendy Holmes
If you have questions about UBS Financial Services Inc. and/or Wendy Holmes 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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