Investors potentially experienced sales practice violations by securities broker Arnold I. Irwin Alpert [CRD: 3919, Phoenix, Arizona], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alpert worked for UBS Financial Services Inc. from August 17, 2006, to January 6, 2025, and was previously registered with Salomon Smith Barney Inc. earlier in his career. Investors should continue reviewing the information below to find out more about Alpert’s client disclosures.
Particularly, a client filed a complaint about Arnold Alpert while he was employed by UBS Financial Services Inc. The client alleged that Alpert charged excessive fees after stating the advisory fee would be lower. The client reportedly incurred damages. UBS Financial Services Inc. settled the matter on July 31, 2024, by paying the client $48,508.04 in damages.
Specifically, a client filed a complaint about Arnold Alpert. Mainly, the client alleged that Alpert engaged in unauthorized trading and unsuitable trading. Because of this, the client allegedly sustained damages linked to stocks. Consequently, on November 14, 2003, Salomon Smith Barney Inc. settled this matter by paying the client $20,000 in damages.
Also, a client of Salomon Smith Barney disputed Arnold Alpert’s sales practices, according to a complaint. Allegedly, Alpert failed to follow instructions. It appears that Alpert allegedly caused the client to incur damages relating to stocks. Therefore, Salomon Smith Barney opted to settle the matter on November 11, 2002, by paying the client $12,750.
Are you concerned regarding investments you made through Arnold Alpert? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Alpert and brokerage firms Alpert worked for deny accusations of sales practice violations.
ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]
MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020. She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
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