William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments

INVESTORS: UBS Financial Services broker William Word Huthnance is facing pending customer disputes alleging recommendation of unsuitable investments.

William Word Huthnance (CRD#:4326519) is registered as a broker and investment adviser with UBS Financial Services, where he’s been employed since 2015. Previously, Huthnance was registered as a broker and investment adviser with Credit Suisse from 2009 until 2015.

Huthnance has six disclosures on his BrokerCheck report. One customer dispute filed against him was denied.

February 2022 Customer Dispute

Status: Pending

Allegations: Time frame: 2016-2019 Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Damage Amount Requested: $500,000.00


February 2022 Customer Dispute

Status: Pending

Allegations: Time frame: 2016-2019 Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.


February 2022 Customer Dispute

Status: Pending

Allegations: Time frame: 2018-2019 Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Damage Amount Requested: $300,000.00


April 2020 Customer Dispute

Status: Settled

Allegations: Time frame: 2015 – present Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy, hedge funds, structured notes, and private equity funds.

Damage Amount Requested: $1,200,000.00

Settlement Amount: $580,000.00

Broker Comment: The initial filing was done incorrectly as “Named in Body”. Filing is updated as on 6/1/2020 in accordance to the disclosure letter.


September 2019 Customer Dispute

Status: Pending

Allegations: Time frame: 2016 – present Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Damage Amount Requested: $1,000,000.00


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