Please ensure Javascript is enabled for purposes of website accessibility

Tag Archives: FINRA arbitration panel

Strategy incorrectly described as low risk, led to losses for claimant — $299,599.05 verdict (access required)

Type of action: Securities fraud, negligence, breach of fiduciary duty Injuries alleged: Investment account losses of $437,398.57 Name of case: Amyx, Trustee v. UBS Financial Services Inc. Court: Financial Industry Regulatory Authority (FINRA) Arbitration Case no.: 20-02555 Name of judge ...

Read More »