Erez Law is currently investigating UBS Financial Services Inc. broker Gretchen Hargroder (CRD# 2551513) who is accused of elder abuse. She has been registered with UBS Financial Services Inc. in Beaumont, Texas, since 1997
Gretchen Hargroder Customer Complaints
She has been the subject of two customer complaints between 2004 and 2023, according to her CRD report. The most recent complaint was regarding:
June 2023. “Time frame: February 2021 – February 2022. Allegations: Elderly Claimant alleges UBS’s BOM Hargroder allowed her son/POA multiple unauthorized withdrawals without questions. Alleges UBS failed to identify, uncover, investigate and report elderly exploitation failing to follow internal policies.” The customer is seeking $210,500 in damages, and the case is currently pending.
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 Gretchen Hargroder’s 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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