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Investor Alleges Rebecca Fitschen Misrepresented Fees

Rebecca Fitschen (CRD #: 4144349), a broker registered with UBS Financial Services, is the subject of a pending investor dispute, according to her BrokerCheck record, accessed on October 8, 2022. Read on to learn more about her conduct as a broker.

Investor Dispute

On July 22, 2022, an investor alleged that Rebecca Fitschen assured him multiple times between January 3, 2022, and the date of filing that the total fees for his managed assets would never exceed 60 basis points. This dispute is pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deception, manipulation, and other unethical tactics to influence investors’ decisions. This includes omitting or misrepresenting material facts, such as the limitations, requirements, or features associated with an investment.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 are automatic violations of FINRA Rule 2010. 

Background Information

Rebecca Fitschen has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Rebecca Fitschen is a registered broker in 31 states and a registered investment adviser in Tennessee and Texas.

Kurta Law Can Help

If you worked with Rebecca Fitschen and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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