Marc Edmond Haggar, of Dallas, Texas, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $70,000.00 in damages based upon allegations that Haggar made misrepresentations of material fact and “failed to follow instructions” regarding certain investments which were supposed to be retained in the customer’s account between December of 2020 and February of 2023. Financial Industry Regulatory Authority (FINRA) Arbitration No. 23-00864 (April 10, 2023). No information is provided as to whether the customer received monthly statements over a period of more than two years.
FINRA Public Disclosure shows that this is the same complaint filed on March 3, 2023, in which the customer requested $70,000.00 in damages based upon allegations that Haggar sold investments that were agreed to be held in the account after the account was transferred to the securities broker dealer. That complaint was also denied but contains different dates of between January 19, 2021, and September 13, 2022.
Haggar has been associated with UBS Financial Services Inc. in Dallas, Texas as a stockbroker and an investment advisor representative since December 6, 2011. He has no other complaints.
