Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Griep (Griep), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Griep recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.
Time Frame: June 17th, 2025 to July 23rd, 2025\, \, What were the allegations against the individual? The client alleges that his Financial Advisor failed to follow his instructions by moving money from his traditional IRA to cover a townhouse purchase, instead of from his Roth IRA. The client further alleges, by failing to follow his instructions, this caused him tax implications, which he wants resolved.