UBS FINANCIAL SERVICES INC. Tag Archives

There are Recent Customer Complaints with Broker Donald J. Mahoney in Firm UBS Financial Services INC.

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald J. Mahoney (Mahoney), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mahoney 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 $2,000,000.00 on January 04, 2022.

Time frame: 10/2020 – 11/2020\, Allegations:\, Claimant alleges that during the transition from another financial firm to UBS FS, assets were invested in cash for ten (10) days rather than invested in securities. Claimant alleges they relied upon the Firm to transition the account and to keep them invested in the markets, and due to alleged negligent misrepresentations and omissions, negligent failure to supervise, breaches of fiduciary duty, and breaches of contract, they suffered damages in excess of $2,000,000.

Broker Felipe Zegarra in UBS Financial Services INC. Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.

Client alleges he lost money due to advisor not placing trades on the day he requested by phone. The activity occurred between January 13, 2022 and January 18, 2022.

There are Recent Customer Complaints with Broker Nicolas Barrios in Firm UBS Financial Services INC.

December 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 21, 2022.

Time Frame: 2012-2019 \, \, Allegations: POA for Claimant alleges FA Barrios invested in unsuitable speculative start up software company, provided falsified account statements to Claimant, and misappropriated Claimant’s funds invested.

There are Recent Customer Complaints with Broker Dennis Oleszkowicz in Firm UBS Financial Services INC.

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Oleszkowicz (Oleszkowicz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oleszkowicz 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 $200,000.00 on February 02, 2022.

Allegations as stated by Claimant: Time frame: 9/2020 – 1/2021\, \, Allegations: \, Claimants allege that, contrary to the instructions of the Successor Trustee, funds in the inherited accounts were placed into a regular investment account rather than into an Inherited IRA account. Claimants allege they relied upon the Firm to ensure that documentation provided would be consistent with the objective of setting up an Inherited IRA account and deferring taxation on the funds as permitted under the tax code, and due to alleged breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI, and violations of the Michigan Uniform Securities Act (“MUSA”) MCL 451.2509, they suffered damages of approximately $200,000.

There are Recent Customer Complaints with Broker Edward Lubell in Firm UBS Financial Services INC.

December 8, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Lubell (Lubell), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lubell’s most recent customer complaint alleges that Lubell recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on February 09, 2022.

Time frame: January 2012 -January 2022 \, \, Allegations: Claimant alleges UBS recommended unsuitable and esoteric structured products and notes without adequate warnings and details.

There are Recent Customer Complaints with Broker William Huthnance in Firm UBS Financial Services INC.

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Huthnance (Huthnance), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Huthnance 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 $500,000.00 on February 24, 2022.

Time frame: 2016-2019\, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Brian Cox in UBS Financial Services INC. Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Time Frame: February 24, 2022 to February 25, 2022\, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions by not purchasing an exchanged traded fund upon his request. The alleges damages are estimated to be $5,000.00.

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

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Black (Black), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Black 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 $500,000.00 on February 24, 2022.

Time frame: 2016-2019\, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Javier Lopez in UBS Financial Services INC. Firm Has Customer Complaint

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $50,000.00 on March 09, 2022.

Time frame: November 15, 2011 to Present\, \, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Joseph Depaula in Firm UBS Financial Services INC.

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depaula (Depaula), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Depaula recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 03, 2022.

Time Frame: December 01, 2021 – March 03, 2022\, \, What were the allegations against the individual? \, The client alleges her Financial Advisor failed to enter trades as instructed.. The alleged damages are estimated to be in excess of $5,000.00.