Israels & Neuman, PLC Investigates William Huthnance, of UBS Financial Services
Have you lost money with financial advisor William W. Huthnance (CRD# 4326519), of UBS Financial Services, in Houston, Texas? We are investigating allegations of former customers related to William Huthnance. William Huthnance’s BrokerCheck report, a public record maintained by FINRA, states that Huthnance has been the subject of three customer complaints, some of which makes allegations about options trading strategies, hedge funds, structured notes, and private equity funds.
William Huthnance has been a registered representative of UBS Financial Services from November 2015 to the present. Huthnance has worked in offices in Houston, Texas.
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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against UBS Financial Services.