Steven Harman Mogul of Northbrook Illinois a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on March 30, 2018 where the customer sought $36,923.25 in damages founded on accusations that between March 21, 2014 and February 27, 2018, Mogul (1) breached his fiduciary obligation to protect the customer’s investment portfolio concerning the sale of a structured product and (2) failed to place the customer in investments that were suitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on September 13, 2010, a customer filed an investment related complaint involving Mogul’s activities in which the customer requested $5,000.00 in damages supported by allegations that Mogul effected closed end fund transactions in the customer’s account that were not suitable for the customer considering the customer’s age and tolerance for risk.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
