Goodman & Nekvasil P.A., May Recover Investor Losses – William Ware Smith Jr. (William Smith) Formerly Licensed with UBS Financial Services, Inc.
William Smith has been licensed with Ameriprise Financial Services, Inc. since 2015. William Smith was previously licensed with UBS Financial Services, Inc. FINRA reports that two complaints and/or arbitration claims were filed involving William Smith’s conduct with UBS Financial Services, Inc., alleging unsuitable recommendations, unsuitable purchase, and/or misrepresentation. These complaints and/or arbitration claims both settled, with the largest settling for $247,500.
If you lost any money on investments with William Smith, you may be able to recover your losses from UBS Financial Services, Inc. and/or Ameriprise Financial Services, Inc. This is because UBS Financial Services, Inc. and Ameriprise Financial Services, Inc. had a duty to supervise William Smith.
If you lost money on investments with William Smith 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. and/or Ameriprise Financial Services, Inc. concerning William Smith’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 William Smith 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.
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