CRYSTAL G. MAXWELL at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4700759
CRYSTAL G. MAXWELL is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at HOUSTON, TX. CRYSTAL MAXWELL’s Central Registration Depository (CRD) number is 4700759 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for CRYSTAL MAXWELL

    • Event Date: 5/31/2016
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: The client’s attorney is alleging misrepresentations of the Financial Goal Analysis prepared by the FA which lead to actions that the clients would not have taken. Time Frame: October 15, 2014 to May 31, 2016.
    • Damage Amount Requested: $1,105,000.00
    • Settlement Amount: $230,000.00
    • Arbitration Docket Number:
    • Broker Comment: I deny the allegations completely.


Should I file a FINRA complaint against brokers like CRYSTAL G. MAXWELL?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by CRYSTAL G. MAXWELL’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About CRYSTAL G. MAXWELL

What is CRYSTAL MAXWELL's Central Registration Depository (CRD) Number?

4700759

Which firm is CRYSTAL G. MAXWELL associated with?

UBS FINANCIAL SERVICES INC.

Where is CRYSTAL MAXWELL located?

4400 POST OAK PARKWAY, HOUSTON, TX, 77027

Where can I find more details about CRYSTAL MAXWELL's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/8174 to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against CRYSTAL G. MAXWELL?

Yes. There are disclosures, allegations, or complaints filed against CRYSTAL G. MAXWELL. Click here to view all details

Where can I download a detailed FINRA report for CRYSTAL MAXWELL?

Click here to download a detailed FINRA report for CRYSTAL MAXWELL

Is it safe to do business with CRYSTAL G. MAXWELL?

We’re not sure. Please research CRYSTAL MAXWELL’s disclosures, allegations and complaints before taking a decision


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