David James Boor, of Farmington Hills, Michigan, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related arbitration claim on May 30, 2017, in which the customer sought $139,000.00 in damages supported by allegations that between December 1, 2015, and May 30, 2017, Boor effected mutual funds transactions that were not appropriate for the customer based upon the customer’s risk tolerance and investment experience. The customer further alleged that mutual funds transactions were effected in the customer’s account without authorization.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Boor has been subject of two additional customer initiated investment related disputes pertaining to allegations of his misconduct during the time he was associated with Merrill Lynch, Pierce, Fenner And Smith Inc. In particular, on February 28, 2005, a customer filed an investment related written complaint involving Boor’s conduct, alleging that Boor effected unsuitable equity transactions in the customer’s account.
Further, on July 30, 2012, a customer filed an investment related written complaint regarding Boor’s activities, in which the customer sought $75,000.00 in damages supported by allegations against Boor of having sold the customer an unsuitable variable annuity.
Guiliano Law Group
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