Investors have come forward with complaints about William Huthnance (also known as William Word Huthnance) (CRD: 4326519, Houston, Texas). Particularly, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Huthnance made unsuitable recommendations and made misrepresentations of material fact. For more on these disclosures about Huthnance, see below.
Particularly, a client of UBS Financial Services Inc. contested William Huthnance’s sales practices by filing FINRA Arbitration: 19-02667. Allegedly, Huthnance made unsuitable recommendations and made misrepresentations of material fact. It appears that Huthnance caused the client to sustain damages on options. Therefore, UBS Financial Services Inc. opted to settle the matter on November 16, 2022, by compensating the client in the amount of $305,000.
Also, a UBS Financial Services Inc. client filed FINRA Arbitration: 20-01305 about William Huthnance. Namely, the client alleged that Huthnance engaged in unsuitable trading and made misrepresentations. Because of this, the client allegedly sustained damages on hedge funds, structured notes, and private equity funds. Therefore, on May 5, 2022, UBS Financial Services Inc. settled this matter by paying the client $580,000 in damages.
Additionally, a client of UBS Financial Services Inc. contested William Huthnance’s sales practices by filing FINRA Arbitration: 22-00402 on February 24, 2022. Allegedly, Huthnance engaged in unsuitable trading and made misrepresentations of material fact. It appears that Huthnance caused the client to sustain damages on options overlay strategies. Therefore, the client seeks compensatory relief from UBS Financial Services Inc. or Huthnance in the amount of $500,000 in this ongoing matter.
Evidently, on February 10, 2022, a UBS Financial Services Inc. client filed FINRA Arbitration: 22-00305 about William Huthnance. Namely, the client alleged that Huthnance made unsuitable recommendations and misrepresentations to them. Because of this, the client allegedly sustained damages on options overlay strategies. Therefore, the client requested compensation from UBS Financial Services Inc. or Huthnance. BrokerCheck shows that this arbitration is pending a resolution.
Also, a client of UBS Financial Services Inc. contested William Huthnance’s sales practices by filing FINRA Arbitration: 22-00278 on February 8, 2022. Allegedly, Huthnance engaged in unsuitable trading and made misrepresentations of material fact. It appears that Huthnance caused the client to sustain damages on options overlay strategies. Therefore, the client seeks compensatory relief from UBS Financial Services Inc. or Huthnance in the amount of $300,000 in this ongoing matter.
Particularly, on August 6, 2019, a UBS Financial Services Inc. client filed a complaint about William Huthnance. Namely, the client alleged that Huthnance engaged in unsuitable trading and made omissions relating to investments. Because of this, the client allegedly sustained damages on hedge funds. Therefore, the client requested compensation from UBS Financial Services Inc. or Huthnance. However, UBS Financial Services Inc. denied this complaint.
Have you experienced damages because of William Huthnance? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered funds for many investors in all 50 states, represents investors like you on a contingency fee basis and advances all costs. Huthnance and those firms Huthnance worked for deny any and all allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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