BROKER REPORT: David S. James Reportedly Terminated by UBS

Malecki Law’s team of investment fraud attorneys are interested in hearing from investors who have complaints regarding broker David S. James. Mr. James was most recently working with UBS in California before being terminated by the firm, according to reports and industry records.

According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. James has been the subject of at least two customer disputes during his career in the industry.

It was recently reported that UBS let Mr. James go by UBS “for business practices that persistently drew compliance scrutiny.” Reports indicate that Mr. James was a high producing broker with UBS, a member of UBS’s Pinnacle Council and ranked as a Barron’s “Top 1200 Advisors” five times.

Mr. James’ partner Michael J. Winn reportedly resigned from UBS in April “while under review for allegations that he violated firm policies” per his BrokerCheck Report maintained by FINRA.

The attorneys at Malecki Law are regularly contacted by and regularly represent individuals who have lost money in connection with inappropriate securities transactions and recommendations of financial advisors/stockbrokers. We have handled numerous cases involving unsuitable investment recommendations and other types of broker misconduct.

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