Investors may have incurred losses because of securities broker William Thomas Avery [CRD: 2269289, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avery has worked with UBS Financial Services Inc. since August 16, 1996, operating out of both Birmingham and Detroit, Michigan offices. Keep reading to learn more about Avery’s disclosures and recent allegations raised in client complaints and arbitration.
Notably, on September 25, 2024, a UBS Financial Services Inc. client filed FINRA Arbitration No. 24-01773 about William Avery Allegedly, UBS failed to perform due diligence on a fund of funds from 2012 to 2023. Supposedly, the broker made an unsuitable recommendation of the fund of funds. Also, the claim alleged that the broker inadequately disclosed investment risks. For this reason, the client allegedly sustained damages on alternative investments. Consequently, the client requested $50,000.00 in compensation from UBS Financial Services Inc. or Avery. It appears that this arbitration is pending a resolution.
Evidently, a client of UBS Financial Services Inc. contested William Avery’s sales practices, according to a complaint dated April 17, 2009. Allegedly, Avery failed to follow instructions and placed the client’s funds in an annuity instead of a money market account. Supposedly, Avery caused the client to sustain damages. Therefore, the client sought compensation from UBS Financial Services Inc. or Avery in the amount of $5,000.00 in this matter. However, the firm denied this complaint.
Did you experience losses because of William Avery? Contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney about a potential recovery of your investment losses. Soreide Law Group is experienced with recovering losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Avery and brokerage firms Avery worked for deny allegations of sales practice violations.
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Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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