UBS FINANCIAL SERVICES INC. Tag Archives

Broker Adam Rogers in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Rogers (Rogers), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 $1,137,640.00 on June 05, 2020.

Rogers 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; unfair trade and deceptive practices; abuse, neglect, and exploitation of elderly persons and disabled adults; violation of Maryland and Rhode Island fraud statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; and unjust enrichment.

Broker Franklin Laden in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client alleges his instructions to purchase two (2) equity investments were not acted on.

There are Recent Customer Complaints with Broker Frederick Long in Firm UBS Financial Services INC.

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame: April 23, 2020 to June 08, 2020 \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

Broker David I. Obolensky in UBS Financial Services INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame: April 23, 2020 to June 08, 2020 \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

There are Recent Customer Complaints with Broker Bradley Rubin in Firm UBS Financial Services INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Rubin (Rubin), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $600,000.00 on June 25, 2020.

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

There are Recent Customer Complaints with Broker Eduardo Gonzalez in Firm UBS Financial Services INC.

April 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Gonzalez (Gonzalez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $415,000.00 on July 20, 2020.

Claimant alleges the recommendation to invest and hold PR municipal bonds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Ray Burns in Firm UBS Financial Services INC.

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

There are Recent Customer Complaints with Broker Kenneth Wise in Firm UBS Financial Services INC.

April 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2020.

Time frame: Starting Spring of 2014 Claimant’s counsel alleges financial advisor provided unsuitable investment recommendations and failed to pay down Claimant’s line of credit as directed

There are Recent Customer Complaints with Broker Kelley Edwards in Firm UBS Financial Services INC.

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Edwards (Edwards), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Edwards 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 $17,500.00 on August 10, 2020.

Time Frame: January 02, 2020 to May 31, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.

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

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lineberger (Lineberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lineberger 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 $163,105.00 on December 08, 2020.

Time Frame: January 13, 2020 to March 27, 2020 \<char_lb_r>\, The Trustees Attorney alleges the FA failed to reduce the equity stake in the account as instructed. He further alleges had the changes been implemented as requested, it would have insulated the client from subsequent downturn by a significant margin.