UBS FINANCIAL SERVICES INC. Tag Archives

Broker Lindsey Benson in UBS Financial Services INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lindsey Benson (Benson), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Benson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,000.00 on March 31, 2022.

Time Frame: November 20, 2021 – March 28, 2022\, What were the allegations against the individual? \, The client’s Attorney alleges the CSA failed to exercise the options as instructed.

There are Recent Customer Complaints with Broker Mark French in Firm UBS Financial Services INC.

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark French (French), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that French recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2022.

Time Frame: January 3, 2022 to March 30, 2022 \, \, The client alleges his Financial Advisor failed to invest the account as instructed. The alleged damages are alleged to be estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Christopher George in Firm UBS Financial Services INC.

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher George (George), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that George recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 05, 2022.

Time Frame: January 02, 2020 to December 31, 2021\, The client alleges he was charged excessive fees and commissions. The client further alleges moving bonds into his managed account was not in his best interest or explained. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Andrew Knutson in Firm UBS Financial Services INC.

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Knutson (Knutson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Knutson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,167.00 on October 03, 2025.

Time Frame: July 8th, 2024 to July 30th ,2025\, \, What were the allegations against the individual? The client alleges her Financial Advisor failed to invest her money as instructed. The client further alleges that her account fee was overcharged.

There are Recent Customer Complaints with Broker Aileen Schruth in Firm UBS Financial Services INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Schruth (Schruth), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schruth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $301,883.80 on July 13, 2022.

Time Frame: May 21, 2021 to July 1, 2022\, \, What were the allegations against the individual? \, \, The POA alleges he did not provide instructions to execute a trade.

Broker Rebecca Fitschen in UBS Financial Services INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Fitschen (Fitschen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitschen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 22, 2022.

Time Frame: January 3rd, 2022 to July 22nd, 2022\, \, What were the allegations against the individual? The client alleges he was assured multiple times that his total fees for his managed assets would never exceed 60 basis points. The alleges damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker David Barnes in Firm UBS Financial Services INC.

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Barnes (Barnes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barnes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $3,400,000.00 on August 09, 2022.

Barnes was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence, negligent supervision, breach of account agreements, and violations of the FINRA Code of Conduct, directly and indirectly in breach of contracts to follow the FINRA Code of Conduct.

Broker Cristobal Flanagan Margozzini in UBS Financial Services INC. Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cristobal Flanagan Margozzini (Flanagan Margozzini), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Flanagan Margozzini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Time Frame: July 15, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor did not follow instructions and failed to enter a trade. The alleged damages are in excess of $5,000.00.

There are Recent Customer Complaints with Broker Mitchell Riesenberger in Firm UBS Financial Services INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Riesenberger (Riesenberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Riesenberger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $620,000.00 on August 31, 2022.

Time frame: Starting in or about 2015\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Allen Carter Jr. in UBS Financial Services INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Carter Jr. (Carter Jr.), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter Jr. recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $7,000.00 on September 06, 2022.

Time Frame August 11, 2022 to August 15, 2022\, \, The client alleges he did not give authorization to execute trades.