Harrison Hoyes (CRD #: 5348427), a broker registered with UBS Financial Services, is facing an investor dispute, according to his BrokerCheck record, accessed on January 28, 2021.
On December 1, 2020, am investor alleges that Harrison Hoyes recommended unsuitable investments and engaged in negligence. The investor is seeking $347,000; the dispute is pending. As a broker and an investment advisor, Hoyes has an obligation to only recommend suitable investments. According to FINRA, “suitability” takes into account factors like the investor’s age, investment goals, and overall risk tolerance.
Harrison Hoyes has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Series 31 Futures Managed Funds Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 20 states and a registered investment adviser in New Jersey and Texas.
Hoyes has 13 years of experience in the securities industry. During that time, he has registered at the following firms:
- Morgan Stanley (CRD #: 149777)
- Citigroup Global Markets (CRD #: 7059)
- AXA Advisors (CRD #: 6627)
If Harrison Hoyes was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.