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Client’s Counsel Seeks $1.9 Million in Dispute with Clifford Virgin

Nov 14, 2022 Misappropriation

Clifford Virgin (CRD #: 1878876), a broker registered with RBC Capital Markets, is involved in a pending dispute, according to his BrokerCheck record, accessed on November 4, 2022. If you have questions about his conduct as a broker. keep reading.

Investor Dispute

On September 16, 2022, counsel for a deceased client alleged that Clifford Virgin and other employees of UBS Financial Services allowed a wrongful transfer of title to the client’s investment accounts, resulting in the misappropriation of funds after the client passed. This pending dispute seeks $1.9 million in damages.

FINRA Rule 2150

FINRA Rule 2150 forbids the misuse and misappropriation of investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Clifford Virgin has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Clifford Virgin is a registered broker in 21 states and the District of Columbia. He is also a registered investment adviser in New Jersey and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Citigroup Global Markets (CRD#:7059)
  • Lehman Brothers (CRD#:7506)

Kurta Law Can Help

If you worked with Clifford Virgin and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.