UBS FINANCIAL SERVICES INC. Tag Archives

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.

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.