National investment loss lawyers KlaymanToskes is investigating broker Wendy Holmes of UBS Financial Services (CRD #2944190).
According to FINRA BrokerCheck, Wendy Holmes, a registered representative of UBS Financial Services Inc. in New York, NY, is facing a customer complaint alleging $1,000,000 in damages due to unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy.
Investors that suffered losses with broker Wendy Holmes are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Broker Wendy Holmes of UBS Financial Services Inc. in New York, NY, is currently involved in an investor complaint seeking $1,000,000 in damages. The complaint is related to recommendations of an options overlay strategy during the period of 2016 to 2019. The complaint further alleges misrepresentation and unsuitability regarding recommendations to invest in and maintain positions in the options strategy at UBS.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Wendy Holmes, or have concerns regarding your investment portfolio at UBS Financial Services, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.