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Investor Alleges Raymond Hart Poorly Managed Their Account

Raymond Hart (CRD #: 2558591), a broker registered with UBS Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on July 2, 2022. If you want to learn more about Raymond Hart’s conduct as a broker, read on.

Investor Dispute

On April 6, 2022, an investor alleged that Raymond Hart failed to manage her account and that UBS Financial Services misrepresented the returns on her investments and the management fees charged to her account. The investor seeks $95,000 in this pending dispute.

FINRA Rule 2020

Misrepresentation of facts related to investments violates FINRA Rule 2020, which bans manipulation, deception, and other fraudulent means of influencing the purchase and sale of securities.

Background Information

Raymond Hart 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 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Raymond Hart is a registered broker in 27 states and the District of Columbia. He is also a registered investment adviser in New York and Texas.

He has also worked for Morgan Stanley & Company (CRD#:8209) and Morgan Stanley (CRD#:7556).

Kurta Law Can Help

If you worked with Raymond Hart 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.