Were you the victim of UBS Financial Services Inc. broker Richard Gibbs (CRD# 4659304)? He has been registered with UBS Financial Services Inc. in Leawood, Kansas, since 2013.
Richard Gibbs Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
May 2023. “Time frame : unknown Elderly claimant alleges investments sold to her for account were unsuitable and misrepresented to her.” The case is currently pending. The complaint was regarding sales practices.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Richard Gibbs’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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