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.
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Investors apparently complained about securities broker Richard James Carlesco Jr. [CRD: 2135988, Liverpool, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carlesco worked for IBN Financial Services Inc. from October 24, 2000, to the present, and later registered with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning April […]
Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]
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