LYNN ALISSA FIELD at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2210927
LYNN ALISSA FIELD is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at ST PAUL, MN. LYNN FIELD’s Central Registration Depository (CRD) number is 2210927 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for LYNN FIELD

    • Event Date: 6/2/2008
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008
    • Settlement Amount: $25,000.00
    • Arbitration Docket Number:
    • Broker Comment: THE COMPLAINT AROSE IN CONNECTION WITH THE INDUSTRY WIDE BREAKDOWN OF THE LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES (\ARS\). THE FIRM AGREED TO REPURCHASE THE ARS SECURITIES AT ISSUE AT PAR VALUE FROM THE CLIENT PURSUANT TO A GLOBAL REPURCHASE AGREEMENT IT ENTERED INTO WITH SEVERAL REGULATORY BODIES. THIS WAS NOT A SETTLEMENT OF A DISPUTE BETWEEN THE CLIENT AND THE REPRESENTATIVE AND WAS NOT BASED ON THE MERITS OF THE CLIENT’S SPECIFIC CONCERNS OR ANY FINDING OF FAULT OR WRONGDOING BY THE NAMED REPRESENTATIVE. THE NAMED REPRESENTATIVE WAS NOT A PARTY TO, AND DID NOT AGREE TO OR PARTICIPATE IN, THE REPURCHASE AGREEMENT BETWEEN THE FIRM AND THE RELEVANT REGULATORY BODIES. THE NAMED REPRESENTATIVE DID NOT MAKE ANY PAYMENTS TO THE CLIENT AND THE NAMED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE SETTLEMENT AMOUNT. THE LISTED \SETTLEMENT AMOUNT\ REPRESENTS ONLY THE GROSS INITIAL PAR VALUE OF THE ARS POSITION AND DOES NOT TAKE INTO ACCOUNT THE ACTUAL VALUE OF THE ARS POSITION AT THE TIME THE FIRM RECEIVED IT BACK FROM THE CLIENT IN CONNECTION WITH THE SETTLEMENT. THIS MATTER IS BEING REPORTED AS A SETTLEMENT PURSUANT TO THE REQUIREMENTS OF FINRA REGULATORY NOTICE 09-12.
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Should I file a FINRA complaint against brokers like LYNN ALISSA FIELD?

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 LYNN ALISSA FIELD’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 LYNN ALISSA FIELD

What is LYNN FIELD's Central Registration Depository (CRD) Number?

2210927

Which firm is LYNN ALISSA FIELD associated with?

UBS FINANCIAL SERVICES INC.

Where is LYNN FIELD located?

444 CEDAR ST, ST PAUL, MN, 55101-2108

Where can I find more details about LYNN FIELD'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 LYNN ALISSA FIELD?

Yes. There are disclosures, allegations, or complaints filed against LYNN ALISSA FIELD. Click here to view all details

Where can I download a detailed FINRA report for LYNN FIELD?

Click here to download a detailed FINRA report for LYNN FIELD

Is it safe to do business with LYNN ALISSA FIELD?

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

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Originally reported on November 17, 2022 @ 9:01 pm

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