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
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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