Broker Investigation: Dwight West

Broker Investigation: Dwight West

Dwight West (CRD#: 463778) is a registered broker. Since 2009, Mr. West has worked at UBS Financial Services in Carbondale, Colorado. Earlier this year, an elderly investor filed a complaint against Mr. West.

In this post, our dedicated investment fraud attorneys offer an overview of the elder financial abuse claim filed against UBS Financial broker Dwight West. All information referenced below has been cited directly from FINRA’s BrokerCheck tool.

Customer Complaint: Dwight West

In May of 2018, an elderly investor filed a complaint against UBS Financial Services broker Dwight West. According to the investor, the misconduct that is at issue in this case occurred between 2009 and 2017.

The elderly investor argues, through her Power of Attorney, that Mr. West made a pattern of unsuitable investment recommendations and engaged in unauthorized trading. In addition, the complainant contends that Mr. West improperly abandoned the account and negligently failed to communicate with the investor.

The investor is seeking $75,000 in financial compensation. As of early October of 2018, this claim is listed by FINRA as ‘pending’. There has been no finding of wrongdoing or misconduct on the part of Mr. West or on the part of UBS Financial Services.

Speak to a Securities Law Attorney Today

At Sonn Law Group, we are committed to representing the rights and interests of investors nationwide. If you were a victim of investment fraud or brokerage firm misconduct, please to do not hesitate to contact our law firm for a free, fully confidential review of your case.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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