Warning: RODNEY WASHINGTON of UBS Financial is BARRED – Ohio

Israels & Neuman, PLC
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NEW ALBANY, OHIO

Have you lost money with financial advisor Rodney Washington, formerly with UBS Financial Services, in New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rodney D. Washington. FINRA barred Washington from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Washington for allegations that he engaged in undisclosed outside business activities.

Rodney Washington was a financial advisor and registered representative of UBS Financial Services from 1994 to April 2021. He worked at a branch office in New Albany, Ohio. Washington has also been the subject of three customer complaints and a 2018 bankruptcy.

Brokerage firms like UBS Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including UBS Financial Services.

Click HERE to view Washington, R BrokerCheck Report

Click HERE to view Washington FINRA AWC

If you lost money with Rodney Washington or UBS Financial Services, please Contact Us at 720-599-3505 for a free evaluation of your case.

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