SUSAN LOUISE MCNIEL at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1343521
SUSAN LOUISE MCNIEL is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at PORTLAND, OR. SUSAN MCNIEL’s Central Registration Depository (CRD) number is 1343521 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for SUSAN MCNIEL

    • Event Date: 3/16/2006
    • Disclosure Type: Regulatory
    • Disclosure Resolution: Final
    • Disclosure Detail :: DocketNumberFDA: HPD# 06-70
    • DocketNumberAAO: 06-70
    • Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
    • Allegations: **3/16/06**STIPULATION AND CONSENT FILED BY DIVISION OF ENFORCEMENT OF NYSE REGULATION, INC. AND PENDING CONSENTED TO FINDINGS:WITHOUT ADMITTING OR DENYING GUILT, MCNIEL CONSENT TO FINDINGS THAT SHE: 1.VIOLATED NYSE RULE 408(A) BECAUSE THEY EXERCISED DISCRETIONARY POWER IN THE ACCOUNTS OF MORE THAN ONE CUSTOMER WITHOUT FIRST OBTAINING WRITTEN AUTHORIZATION OF THE CUSTOMERS. 2.VIOLATED NYSE RULE 408(B) BECAUSE THEY EXERCISED DISCRETIONARY POWER IN THE ACCOUNTS OF MORE THAN ONE CUSTOMER WITHOUT FIRST NOTIFYING AND OBTAINING THE APPROVAL OF ANOTHER PERSON DELEGATED UNDER NYSE RULE 342(B)(1) WITH AUTHORITY TO APPROVE THE HANDLING OF SUCH ACCOUNTS. STIPULATED SANCTION: THE IMPOSITION BY THE NEW YORK STOCK EXCHANGE LLC ( YSE\) OF: A CENSURE AND FINE OF $15,000 FOR MCNIEL
    • Resolution: Decision
    • Sanction Details :: Sanctions: Monetary/Fine
    • Sanction Details :: Amount: $15,000.00 Sanctions: Censure
    • Sanction Details: **5/31/06** DECISION ISSUED (HPD 06-70) 1. VIOLATED NYSE RULE 408(A) BY EXERCISING DISCRETIONARY POWER IN CUSTOMER ACCOUNTS WITHOUT FIRST OBTAINING WRITTEN AUTHORIZATION OF CUSTOMERS; AND 2. VIOLATED NYSE RULE 408(B) BY EXERCISING DISCRETIONARY POWER IN CUSTOMER ACCOUNTS WITHOUT FIRST NOTIFYING AND OBTAINING APPROVAL OF ANOTHER PERSON DELEGATED UNDER NYSE RULE 342(B)(1) WITH AUTHORITY TO APPROVE HANDLING OF SUCH ACCOUNTS. PENALTY: CENSURE AND $15,000 FINE
    • Broker Comment: THE FINANCIAL ADVISOR HAS EXCELLENT RELATIONSHIPS WITH HER CLIENTS, MANY OF WHOM HAVE WRITTEN LETTERS OF PRAISE FOR INVESTMENT ADVICE PROVIDED TO THEM.
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Should I file a FINRA complaint against brokers like SUSAN LOUISE MCNIEL?

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 SUSAN LOUISE MCNIEL’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 SUSAN LOUISE MCNIEL

What is SUSAN MCNIEL's Central Registration Depository (CRD) Number?

1343521

Which firm is SUSAN LOUISE MCNIEL associated with?

UBS FINANCIAL SERVICES INC.

Where is SUSAN MCNIEL located?

805 SOUTHWEST BROADWAY, PORTLAND, OR, 97205

Where can I find more details about SUSAN MCNIEL'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 SUSAN LOUISE MCNIEL?

Yes. There are disclosures, allegations, or complaints filed against SUSAN LOUISE MCNIEL. Click here to view all details

Where can I download a detailed FINRA report for SUSAN MCNIEL?

Click here to download a detailed FINRA report for SUSAN MCNIEL

Is it safe to do business with SUSAN LOUISE MCNIEL?

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

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Originally posted on November 17, 2022 @ 9:04 pm

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