INVESTORS: Rockefeller broker Shay W. Scruggs is facing a pending customer dispute alleging unsuitable investment recommendations resulting in losses.
Shay W. Scruggs (CRD: 4173046) is registered as a broker and investment adviser with Rockefeller Financial, where he has been employed since June 2020. Previously, Scruggs was registered as a broker and investment adviser with UBS Financial Services from 2014 until 2020.
Scruggs has one disclosure on his BrokerCheck report.
July 2020 Customer Dispute
- Status: Pending
- Allegations: Starting in 2013, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.
- Broker Comment: Starting in 2013, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.
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The Sonn Law Group is currently investigating allegations surrounding Shay W. Scruggs. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
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