Investors complained about securities broker Marc Edmond Haggar [CRD: 4146965, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Haggar has worked for UBS Financial Services Inc. since December 6, 2011. The following information is an overview of the securities broker’s disclosures.
Specifically, a UBS Financial Services client filed FINRA Arbitration No. 23-00864 about Marc Haggar. The client alleged misrepresentation and failure to follow instructions. Because of this, the investor supposedly sustained damages. Consequently, on April 2, 2024, UBS Financial Services settled this matter by paying the client $25,000 in damages.
Particularly, a client of UBS Financial Services contested Marc Haggar’s sales practices, according to a complaint dated March 3, 2023. Notably, the investor alleged breach of fiduciary duty and negligence. Allegedly, Haggar allegedly caused the client to sustain damages. Therefore, they sought damages from UBS Financial Services or Haggar in the amount of $70,000 in this matter. However, the firm denied the complaint.
Experience losses due to Marc Haggar? If so, touch base with Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Haggar and brokerage firms Haggar worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]
Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]
Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com