Soreide Law Group is investigating possible investor claims against Andrew Perry (also known as Andrew Fredric Perry) (CRD: 1726938, Margate, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege sales practice violations in these disputes, including that Perry engaged in unsuitable trading and made misrepresentations of material fact. Here is a brief summary of the disclosures about Perry. However, keep in mind that Perry denies the allegations against him.
UBS Financial Services Inc. Investor Accuses Perry Of Unsuitable Trading
Evidently, a UBS Financial Services Inc. client filed FINRA Arbitration: 19-00758 about Andrew Perry. Namely, the client alleged that Perry engaged in unsuitable trading and made misrepresentations of material fact. Because of this, the client allegedly sustained damages on options. Therefore, on November 19, 2022, UBS Financial Services Inc. settled this matter by paying the client $310,000 in damages.
Andrew Perry Discloses Misrepresentation Allegations By UBS Financial Services Inc. Client
Also, a client of UBS Financial Services Inc. contested Andrew Perry’s sales practices by filing FINRA Arbitration: 19-00484. Allegedly, Perry engaged in unsuitable trading and made misrepresentations. It appears that Perry caused the client to sustain damages on options overlay strategies. Therefore, UBS Financial Services Inc. opted to settle the matter on November 17, 2020, by compensating the client in the amount of $300,000.
- Perry worked for UBS Financial Services Inc. in Margate, NJ, as a securities broker from October 2018 to November 2022.
- Perry worked for UBS Financial Services Inc. in Margate, NJ, as a financial advisor from June 2014 to November 2022.
- Perry has worked for Wells Fargo Clearing Services LLC as a securities broker since November 4, 2022.
- Perry has worked for Wells Fargo Clearing Services LLC as a financial advisor since November 4, 2022.
Did UBS Financial Services Inc. Securities Broker Andrew Perry Cause You To Experience Damages?
Did you sustain damages because of Andrew Perry? You should contact Soreide Law Group at (888) 760-6552 and speak with a securities attorney about potentially recovering your investment losses. Soreide Law Group, who has helped recover funds for many investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Perry and those firms Perry worked for deny any and all allegations of sales practice violations.
