Walter M. Stucker of Forth Worth Texas a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint in which the customer requested $632,907.00 in damages supported by accusations that between July 27, 2011 and December 18, 2017, oil and gas limited partnership transactions were placed in the customer’s account that were not suitable for the customer and misrepresentations were made to the customer concerning direct investment transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that Stucker was subject of another customer initiated investment related arbitration claim where the customer was awarded $20,539.01 in damages according to an arbitration claim where Stucker was found liable on the customer’s claims of suitability; breach of fiduciary duty; breach of contract; unauthorized trading; fraud; and violation of National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) rules. NASD Arbitration No. 97-03153 (May 28, 1998).
Stucker’s employment with UBS Financial Services Inc. was terminated on May 11, 2017. Since May 2, 2017 he has been employed by Wells Fargo Clearing Services.
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