Richard Bernstein was formerly registered with UBS in Beverly Hills, California. He has been accused of executing unauthorized and unsuitable trades and failing to follow instructions. He also allegedly misrepresented material facts, breached fiduciary duty and was involved in the sale of an auction rate security prior to widespread liquidity in the market for auction rate securities. These are all against securities rules and regulations. His former firm, UBS, can be held responsible for investment losses because it did not properly supervise him. We bring legal claims against UBS in the FINRA arbitration forum on a contingency fee basis. The call is free with no obligation so please call today. 312-332-4200.
Bernstein was registered with Merrill Lynch, Bear, Stearns, Prudential, Salomon Smith Barney, UBS in Beverly Hills, California from February 2003 until April 2009, and Morgan Stanley. He is currently registered with Wells Fargo Clearing Services in Incline Village, Nevada and has been since July 2015. He has seven customer disputes against him, one of which is currently pending.
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