Brian Ballard: Suitability Complaint Against UBS Rep Settled For $130,000

Brian Ballard

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Utah-based UBS Financial Services broker/adviser Brian Ballard has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ballard (CRD# 2131677).

Brian Ballard has spent 27 years in the securities industry and has been registered with UBS Financial Services in South Ogden, Utah since 2009. Previous registrations include Citigroup Global Markets in Ogden, Utah (1993-2009) and Lehman Brothers in New York, New York (1991-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 27, 1991. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Florida, Georgia, Idaho, Kansas, Maryland, Michigan, Minnesota, Montana, Nevada, New Mexico, Ohio, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, and Wyoming. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

In 2011 a customer alleged Brian Ballard, while employed at Citigroup Global Markets, recommended an unsuitable investment in Lehman stock. The complaint settled for $130,000.

If you or someone you know has complaints regarding Brian Ballard, 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.