Michael Sztrom Formerly Licensed with UBS Financial Services Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses – Michael Sztrom Formerly Licensed with UBS Financial Services Inc. 

Michael Sztrom was licensed with UBS Financial Services Inc. from 2010 to 2015. FINRA reports that three complaints and/or arbitration claims were filed involving Michael Sztrom’s conduct with UBS Financial Services Inc., alleging unsuitable and excessive trading in preferred stocks, corporate bonds and common stocks, unauthorized discretionary trading and/or that Michael Sztrom did not accurately disclose the risks of investing in preferred stock. These three complaints and/or arbitration claims settled for $1,700,000, $450,000 and $400,000.    

If you lost money on investments with Michael Sztrom, you may be able to recover your losses from UBS Financial Services, Inc. This is because UBS Financial Services, Inc. had a duty to supervise Michael Sztrom.

If you lost money on investments with Michael Sztrom and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against UBS Financial Services Inc. concerning Michael Sztrom’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Michael Sztrom and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

Keywords: Michael Sztrom, UBS Financial, FINRA, UBS Financial, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

 

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