Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Rosenthal (Rosenthal), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenthal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.
Time Frame: June 3rd, 2024 to April 16th, 2026\, \, What were the allegations against the individual? The client alleges that the Financial Advisor and the Senior Wealth Strategy Associate sent out wire transfers that were illegal and without his knowledge and authorization to his ex wife.\,