UBS FINANCIAL SERVICES INC. Tag Archives

There are Recent Customer Complaints with Broker Grace T Damen in Firm UBS Financial Services INC.

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace T Damen (Damen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Damen 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 $6,006.01 on May 01, 2026.

Time Frame: January 15th, 2020\, What were the allegations against the individual? The client\\u2019s Attorney alleges that despite clear instructions provided to pay $200,000 dollars to the IRS, only $100,000 was sent. \,

There are Recent Customer Complaints with Broker Cherrie Brickhouse in Firm UBS Financial Services INC.

June 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.

Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.

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

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

Time Frame: June 17th, 2025 to July 23rd, 2025\, \, What were the allegations against the individual? The client alleges that his Financial Advisor failed to follow his instructions by moving money from his traditional IRA to cover a townhouse purchase, instead of from his Roth IRA. The client further alleges, by failing to follow his instructions, this caused him tax implications, which he wants resolved.

Broker Cory Durham in UBS Financial Services INC. Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Durham (Durham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Durham 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 $100,000.00 on August 25, 2020.

Durham was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.

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

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Federico 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 $112,000.00 on December 28, 2020.

Time frame: 2004-present\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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

May 15, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Randall (Randall) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Randall was employed by UBS Financial Services INC. at the time of the activity. If you have been a victim of Randall’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $152,395.05 on March 24, 2026.

The client alleges misappropriation of funds from an IRA Rollover in 2020.

There are Recent Customer Complaints with Broker Carlos Caban in Firm UBS Financial Services INC.

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Caban (Caban), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Caban 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 $40,000.00 on April 14, 2020.

Time frame: 2007-2018\<char_lb_r>\, Claimant’s Counsel allege their investment in a Puerto Rico closed-end fund was unsuitable, over-concentrated, and misrepresented as a safe investment.

There are Recent Customer Complaints with Broker Vicente Del Rio in Firm UBS Financial Services INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vicente Del Rio (Del Rio), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Rio 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 $1,000,000.00 on April 28, 2020.

Former client claims that from August 2016 to September 2017 registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client has now filed a similar FINRA arbitration.

There are Recent Customer Complaints with Broker James Kelly in Firm UBS Financial Services INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kelly (Kelly), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $6,000,000.00 on April 24, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker John Fulton in UBS Financial Services INC. Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Fulton (Fulton), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fulton 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 $1,400,000.00 on April 28, 2020.

Time frame: 2017-2019\<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.