Chicago, IL
Have you lost money with financial advisor David A. Hirsch (CRD# 1341777), of UBS Financial Services, in Chicago, Illinois? The Law Firm of Israels & Neuman is investigating allegations of former customers related to David Hirsch. David Hirsch’s BrokerCheck report, a public record maintained by FINRA, states that Hirsch has been the subject of several customer complaints. The complaints are related to recommendations to invest in the UBS Yield Enhancement Strategy (or YES), an option overlay program.
David Hirsch was a registered representative of UBS Financial Services from March 2016 to the present. Hirsch has worked in offices in Chicago, Illinois.
Brokerage firms like UBS Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois. Attorney David Neuman is licensed to practice in Illinois, grew up in the Chicago area, and worked in Chicago for a number of years. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against UBS Financial Services.