Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Rosis (Rosis), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 07, 2022.
Time Frame: May 12th, 2021 to May12th, 2021\, \, What were the allegations against the individual? The client alleges unauthorized trading. The alleged damages are in excess of $5,000.00.