Christiane Olsen, of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., has been named in a customer initiated investment related arbitration claim, which settled on November 28, 2016, for $29,000.00 in damages based upon allegations that Olsen effected unsuitable master limited partnership and stock transactions in the customer’s account that caused the customer’s holdings to be overconcentrated in the oil and gas sector.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Olsen has been identified in two additional customer initiated investment related disputes containing allegations of Olsen’s misconduct while employed with UBS Financial Services Inc. Specifically, on November 12, 2014, a customer filed an investment related written complaint involving Olsen’s conduct, in which the customer requested $300,000.00 in damages based upon allegations that in 2014, Olsen negligently handled the customer’s investment account, effected unsuitable transactions, and made misrepresentations to the customer regarding investments.
Further, on February 16, 2016, a customer filed an investment related written complaint regarding Olsen’s activities which was based upon allegations that in 2016, Olsen failed to abide by the customer’s instructions to liquidate her positions in the stock market, resulting in the customer sustaining investment losses.
Guiliano Law Group
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