Jeffrey Howell Received One Regulatory Sanction

Jeffrey HowellPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 2, 2016 indicate that former Missouri-based UBS Financial Services broker Jeffrey Howell has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Howell (CRD# 4561368).

Jeffrey Howell has spent twelve years in the securities industry and was most recently registered with UBS Financial Services in Chesterfield, Missouri (2002-2014). He has no previous registrations. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeffrey Howell has received one regulatory sanction and one pending customer complaint.

In October 2016 FINRA sanctioned Jeffrey Howell following allegations he “falsified documents by creating and sending to his customer weekly Stock Tracking Reports that purported to reflect the value of the customer’s portfolio, but actually misstated the value of the accounts.” According to FINRA, Mr. Howell additionally altered account statements to conceal this misconduct, and “caused his firm to keep inaccurate books and records by sending certain Stock Tracking Reports to the customer using his personal e-mail address, which the Firm prohibited.” He was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2014 a customer alleged Jeffrey Howell, while employed at UBS Financial Services, provided inaccurate advice. The customer is seeking $1,096,477 in damages in the pending complaint.

If you have lost money investing with Jeffrey Howell, you may be able to collect a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your claim, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.