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Securities
Breach of Fiduciary Duty
Suitability

Bradford Smith v. UBS Financial Services Inc.

Published: Apr. 1, 2017 | Result Date: Jan. 23, 2017 | Filing Date: Jan. 1, 1900 |

Case number: 16-02377 Arbitration –  Respondent

Court

FINRA


Attorneys

Claimant

Mark Appleton


Respondent

Bryce M. Cullinane
(Keesal, Young & Logan APC)


Facts

Bradford Smith brought a FINRA action against UBS Financial Services Inc.

Contentions

CLAIMANT'S CONTENTIONS:
Claimant contended that respondent engaged in breach of fiduciary duty, suitability, negligence, negligent misrepresentation, omission and misrepresentation with respect to his investments in various funds.

RESPONDENT'S CONTENTIONS:
Respondent denied wrongdoing.

Result

The arbitrator denied claimant's claims in their entirety.


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