Brokers: problems with FINRA inquiry after leaving Fidelity Investments?
April 4, 2018
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Do you believe an investment broker mismanaged your money?

Public FINRA records indicate there are numerous brokers who face customer complaints and/or regulatory investigations. Currently Thomas Law Group is seeking to hear from Investors who had their accounts entrusted to Russell G. Cappelen Jr. (CRD# 1261781) at UBS Financial Services, Inc. According to FINRA broker check, Russell Cappelen may have ignored customer’s circumstances and disregarded her low risk tolerance.

Often, Investors are not aware brokers have been mismanaging their hard-earned life savings. This is especially true when it comes to elderly Investors who are not technology-savvy and rarely check their account activity. Unfortunately, by the time Investors realize their broker was not acting in their best interests, a chunk of money is already gone. What can be done in such situation?

Your best option is to seek legal advice from experienced investment fraud lawyer. Our FINRA attorneys are here to ensure Investors are well-protected and aware of their rights. You can always call us for a complimentary consultation at (800) 797-9888 or (760) 720-9600. Additionally, you can contact us via our website.

 

 

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