Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Rosen (Rosen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.
Time Frame: October 15, 2024 to November 24th, 2025\, \, What were the allegations against the individual? The client alleges that her Financial Advisor failed to invest the funds as instructed that she deposited in her account. The client further alleges she instructed her Financial Advisor to use dollar cost averaging to invest in Pace.