Christopher Mitchell Meyers of Plano Texas a stockbroker registered with UBS Financial Services Inc. has been terminated by the firm on August 10, 2016 founded on allegations that he (1) improperly corresponded with customer concerning tax matters (2) effected unauthorized trades in a customer’s account (3) exercised discretion in two investment accounts that were not approved for purposes of discretionary trading and (4) failed to appropriately document communications with customers in the firm’s records and books.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on March 19, 2018, a customer brought an investment related complaint regarding Meyers’ activities where the customer sought damages estimated to exceed $5,000.00 based upon accusations that between July of 2016 and August of 2016, the customer’s Campbell Fund holdings had been liquidated, with the proceeds having been placed into equities in the customer’s individual retirement account without the customer ever having authorized the transactions.
Meyers’ registration with UBS Financial Services Inc. has been terminated as of September 8, 2016. Since June 29, 2017, Meyers has been associated with Wells Fargo Clearing Services LLC.
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