DID WILLIAM WALKER BROWN CAUSE YOU INVESTMENT LOSSES?
William W. Brown was fired from UBS Financial Services Inc. in November 2024 for allegations of breaching firm policies.
Who is William W. Brown formerly with UBS Financial Services Inc. ?
William W. Brown (CRD #6522004) who was formerly registered as a broker with UBS Financial Services Inc. and located in Weehawken, New Jersey, 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.
William W. Brown Employment History and Termination
William Walker Brown has a professional background in the securities industry with experience spanning multiple firms. He was employed by UBS Financial Services Inc. from October 2017 to November 2024 where he worked in their Weehawken New Jersey and Memphis, Tennessee offices as a registered broker and investment adviser. He is currently registered with Kestra Investment Services, LLC as a registered broker, and Kestra Private Wealth Services, LLC as an investment adviser since December 17, 2024.
He has passed two general industry/product exams and one multi-state securities law exam. His licenses include registrations in 24 U.S. states and territories. His employment history shows a mix of financial roles and other professional engagements, demonstrating a diverse background.
William Walker Brown was discharged from UBS on November 6, 2024, following allegations of breaching firm policies. The reported violation involved taking instructions from an unauthorized relative on a client account, emphasizing the importance of adhering to firm and regulatory standards.
Negative Disclosures Summary
One Termination disclosure was noted
- Date: November 6, 2024
- Firm: UBS Financial Services Inc.
- Details: an internal review determined that he breached firm policies. The review found that he took instructions from an unauthorized relative on a client account. The products involved included corporate debt and mutual funds.
William W. Brown 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 William W. Brown is a red flag which should put all current and former customers of William W. Brown at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William W. Brown 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 William W. Brown
If you have questions about UBS Financial Services Inc. and/or William W. Brown 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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