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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.

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