Derek Adam Vance (CRD#5067949) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Derek Adam Vance (CRD#5067949) regarding allegations made regarding the following:

Claim(s) Made Against Derek Adam Vance:

Claim Date: 3/18/2020

“Time Frame: March 6, 2020 to March 17, 2020 The client alleges he was not informed he could lose money in his investment and that there was no risk.”

This claim, as of this posting, is currently Settled with a claim amount of $8,081.23 .

The investor was paid $3,882.85 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Derek Adam Vance.

Have an issue with Derek Adam Vance?

If you were a customer of Derek Adam Vance and UBS FINANCIAL SERVICES INC. from Miamisburg, OH and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video “Warning signs of a bad financial advisor”). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Derek Adam Vance, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Derek Adam Vance and UBS FINANCIAL SERVICES INC. and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.