James Brian Cain, of Beverly Hills, California, a stockbroker currently registered with UBS Financial Services, Inc., is the subject of a customer initiated investment related written complaint on May 22, 2017, in which the customer sought $145,000.00 in damages based upon accusations that Cain omitted information from the customer about the risks and liquidity pertaining to structured products investments, and effected trades that did not support the customer’s objectives for capital preservation.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on October 31, 2001, a customer initiated investment related arbitration claim involving Cain’s conduct was settled for $9,999.00 in damages supported by allegations that while associated with PaineWebber Incorporated, Cain mishandled the customer’s funds and effected unsuitable mutual fund transactions in the customer’s investment portfolio.
Guiliano Law Group
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