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John Greene: Investors Allege Unsuitable Investments, Unauthorized Trades by UBS Broker

John GreenePublic records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Washington-based UBS Financial Services broker/adviser John Greene has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greene (CRD# 1871171).

John Greene has spent 27 years in the securities industry and has been registered with UBS Financial Services in Bellevue, Washington since 2014. Previous registrations include Merrill Lynch in Bellevue, Washington (2009-2014); Banc of America Investment Services in Bellevue, Washington (2006-2009); Wells Fargo Investments in Bellevue, Washington (2001-2006); Wells Fargo Securities in San Francisco, California (1997-2001); Essex National Securities in Napa, California (1993-1995); and Merrill Lynch in New York, New York (1988-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, Oregon, South Carolina, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

In June 2018 a customer alleged John Greene, while employed at UBS Financial Services, purchased a bond the customer “never asked” him to purchase and recommended keeping it against the customer’s wishes. The customer is seeking $25,000 in damages in the pending complaint.

In 2012 a customer alleged John Greene, while employed at Merrill Lynch, executed unauthorized trades, failed to follow instructions, and recommended unsuitable investments from February 2011 until April 2012. The complaint settled for more than $1,500.

If you or someone you know has lost money investing with John Greene, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.