Tag Archives: David Sanford James

Customer Complaint against UBS Financial Services for Excessive Charges

March 30, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Sanford James, of Century City, California, a stockbroker formerly registered with UBS Financial Services Inc., has been named in a customer initiated investment related written complaint on November 18, 2016, based upon allegations that James, from January of 2016 to August of 2016, breached his fiduciary duties and overcharged the customer in reference to […]

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