Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Arizona-based UBS Financial Services broker/adviser Lawrence Fann has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fann (CRD# 2199482).
Lawrence Fann has spent 26 years in the securities industry and has been registered with UBS Financial Services in Phoenix, Arizona since 2016. Previous registrations include RBC Capital Markets in Phoenix, Arizona (1999-2016); Piper Jaffray in Minneapolis, Minnesota (1994-1999); and Prudential Securities in New York, New York (1992-1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 1, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 7, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on April 10, 2009; and Series 7 (General Securities Representative Examination), which he obtained on January 10, 1992. He is a registered broker and investment adviser with 20 US states and territories: Alaska, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Illinois, Maryland, Michigan, Missouri, Nevada, New Mexico, New York, Ohio, Oregon, Tennessee, Texas, Virginia, and West Virginia.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.
In October 2017 a customer alleged Lawrence Fann, while employed at RBC Capital Markets, made unsuitably speculative investments. The customer is seeking at least $200,000 in damages in the pending complaint.
In 2007 a customer alleged Lawrence Fann, while employed at RBC Dain Rauscher, mishandled her accounts. The customer sought unspecified damages in the complaint, which was denied.
In 2001 a customer alleged Lawrence Fann, while employed at Dain Rauscher, made unsuitable investment recommendations. The complaint settled for $55,000.
In 1998 a customer alleged he, while employed at Piper Jaffray, recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has complaints regarding Lawrence Fann, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.