Douglas John Domian (CRD#5151950) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Douglas John Domian (CRD#5151950) regarding allegations made regarding the following:

Claim(s) Made Against Douglas John Domian:

Claim Date: 3/3/2020

“Time Frame: January 24, 2020 to February 28, 2020 What were the allegations against the individual? The client alleges his instructions to liquidate his account was not done and a lack of fiduciary responsibility to liquidate on a day when the market without contacting him. The alleged damages are estimated to be in excess of $5,000.00.”

This claim, as of this posting, is currently Settled.

The investor was paid $13,186.69 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Douglas John Domian.

Were you a customer of Douglas John Domian?

If you are a former client of Douglas John Domian and UBS FINANCIAL SERVICES INC. from HARTFORD, CT, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Douglas John Domian, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

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 Douglas John Domian 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.