Laurel Bobrowich is the Subject of an Investor Dispute Alleging Omission
Laurel Bobrowich (CRD #: 707915), a broker and investment advisor registered with UBS Financial Services, is involved in an investor dispute according to her BrokerCheck record, accessed on March 12, 2022.
According to the allegations filed on November 15, 2021, Laurel Bobrowich allegedly failed to inform her client that his recommendation to convert her IRAs into Roth IRAs would be a taxable event.
The investor is seeking $185,264 一the case is still pending.
Misrepresentations and omissions concerning material facts in investment recommendations deprive investors of the information they need to assess risks associated with a particular investment. FINRA Rule 2020 prohibits brokerage firms and stockbrokers from making material misrepresentations or inducing people into buying investments with false statements about their potential benefits. This unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Laurel Bobrowich has passed the following exams:
- Series 65 - Uniform Investment Adviser Law Examination
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 5 - Interest Rate Options Examination
- Series 7 - General Securities Representative Examination
Laurel Bobrowich is a registered broker in 26 states. She is also a registered investment advisor in Texas and Wisconsin.
Besides UBS Financial Services, Laurel Bobrowich has not worked with any other firm.
Kurta Law Can Help
If you have worked with Laurel Bobrowich and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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