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 January 4, 2018 where the customer requested $45,000.00 in damages founded on accusations that between July 18, 2014 and January 4, 2018: (1) the customer was placed…
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…