WENDY HOLMES Has A $1 Million Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses
UBS FINANCIAL SERVICES INC. investment adviser, WENDY HOLMES Has A $1 Million Investor Complaint alleging unsuitability and misrepresentation.
CRD#: 2944190
WENDY HOLMES (CRD#: 2944190), a registered representative for UBS FINANCIAL SERVICES INC. in New York, NY, has an investor complaint. According to HOLMES’ FINRA BrokerCheck report, Time frame: 2016-2019 Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.
The claimants are requesting $1,000,000.00 for alleged damages.
WENDY HOLMES has a $1 million investor complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 1/22/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.