Timothy Joseph Trott of Erie Pennsylvania a stockbroker formerly employed by UBS Financial Services is the subject of a customer initiated investment related arbitration claim in which the customer sought $170,000.00 in damages supported by accusations that Trott executed a highly risky investment strategy for the customer’s investment account and placed the customer in unsuitable investments. FINRA Arbitration No. 17-01534 (July 11, 2018).
FINRA Public Disclosure reveals that Trott has been identified in two more customer initiated investment related disputes pertaining to allegations of Trott’s violative conduct while employed with Merrill Lynch Pierce Fenner Smith Inc. In particular, on April 8, 2009, a customer filed an investment related complaint regarding Trott’s activities where the customer requested unspecified damages founded on accusations that the customer was given bad advice pertaining to a variable annuity investment purchase.
Subsequently, on November 23, 2011, a customer filed an investment related complaint concerning Trott’s conduct in which the customer sought unspecified damages based upon allegations that misrepresentations were made to the customer concerning the terms and conditions of a variable annuity purchased by the customer.
Trott’s registration with UBS Financial Services Inc. was terminated on December 23, 2015.
