UBS FINANCIAL SERVICES INC. Tag Archives

Broker William Hales in UBS Financial Services INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2020.

February 03, 2020 to March 11, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Client alleges the financial advisor failed to liquidate his investments as instructed. The allege damages are estimated to be in excess of $5,000.00

Broker William Garity Medina in UBS Financial Services INC. Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Time Frame: September 23rd, 2019 to December 30th, 2019\, \, What were the allegations against the individual? The client alleges his Financial Advisor colluded with his ex-wife to drain the account via unauthorized transfer of funds.

Broker Igor Harlap in UBS Financial Services INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Igor Harlap (Harlap), 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), Harlap’s most recent customer complaint alleges that Harlap recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on December 30, 2025.

Allegations as stated by Claimant (include time frame of the alleged activity): 2025\, Time frame: Claimants allege their financial advisor improperly recommended a concentrated position in structured notes and alternative investments.

Broker Andrew Burish in UBS Financial Services INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Burish (Burish), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Burish 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 $23,085,874.00 on February 23, 2021.

Time frame: September 2019- July 2020\, The Claimants allege that the FA recommended an unsuitable and risky strategy of selling the stock of Tesla short and recommended that they continue to hold the positions in the face of mounting losses. The First Amended Statement of Claim has added a claim for fraud alleging that the FA failed to advise them that he was no longer shorting Tesla in his own account from July 2019-June 2020.

Broker Nick Polydoros in UBS Financial Services INC. Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Polydoros (Polydoros), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Polydoros 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 $525,000.00 on February 24, 2021.

Time frame: Starting in 2018 \<char_lb_r>\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

Broker Stephen Hall in UBS Financial Services INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2021.

Time Frame: August 25, 2020\, \, What were the allegations against the individual? \, \, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker John Sholtis in Firm UBS Financial Services INC.

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

Time Frame: August 21, 2017 to March 26, 2021\, \, What were the allegations against the individual? \, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Carl Donatello in Firm UBS Financial Services INC.

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

Time Frame: August 21, 2017 to March 26, 2021\, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00

Broker Robert A Elmo in UBS Financial Services INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert A Elmo (Elmo), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elmo 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 $1,312,698.56 on April 15, 2021.

Starting January 1, 2011\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimant’s counsel further alleges that Claimants’ risk profiles were changed without knowledge or consent.

There are Recent Customer Complaints with Broker Juan Perez in Firm UBS Financial Services INC.

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2021.

Time frame: Unspecified Allegations: Claimants allege their investments in Puerto Rico closed-end funds and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.