DID MIKE R ROSS MUMFORD CAUSE YOU INVESTMENT LOSSES?

Mike Mumford Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Mike Mumford of UBS Financial Services Inc.?

Mike Mumford (CRD #1844208)

Investment Losses? Let’s talk.

or, give us a ring at (833) 300-6983.

Mike Mumford Customer Complaints

Mike Mumford has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by UBS Financial Services in favor of the investor. It later denied the other customer complaint and, to date, the customer is not taking any further action.

Allegations Against Mike Mumford

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Customer alleged he was given false assurances about the risk of the investments.
• Failure to disclose sales loading commissions.
• Breach of fiduciary duty, negligence, misrepresentation, and unsuitable recommendations.

Mike Mumford Red Flags & Your Rights As An Investor

Of course, Mike Mumford did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mike Mumford at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mike Mumford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at (833) 300-6983. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at (833) 300-6983.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To Mike Mumford

If you have questions about UBS Financial Services Inc. and/or Mike Mumford and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-(833) 300-6983.