Articles Tagged with UBS FINANCIAL SERVICES INC.

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The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as UBS Financial Services Inc., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.

UBS Financial Services Inc. is the main U.S. wealth management firm of UBS, providing advice-based investment, planning, and banking services to high net worth and ultra high net worth individuals and families. The firm operates through regional divisions covering the Northeast, Southeast, West, and Central United States, an international division, and a remote Wealth Advice Center that serves more than 200,000 clients.

UBS Financial Services Inc. – By the Numbers:

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Garrick Montenegro (Montenegro) 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 Montenegro was employed by UBS Financial Services INC. at the time of the activity.  If you have been a victim of Montenegro’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 $2,500,000.00 on May 27, 2026.

Llegations as stated by Claimant: Claimants allege FA Montenegro\\u2019s partner engaged in a fraudulent selling away scheme and that FA Montenegro should have been aware of the scheme. Claimants further allege that their UBS advisory accounts were reverse-churned with the investments remaining unchanged for several years. One Claimant also alleges he was recommended an unsuitable and inappropriate securities backed loan. \, \, Time frame: 2010-2025\,

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2026.

FILED IN ERROR – PLEASE REMOVE – PLEASE ARCHIVE\,

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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 4 disclosable events. These events include 4 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Childres 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 $400,000.00  on May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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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 2 disclosable events. These events include 2 customer complaints, 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.

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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 2 disclosable events. These events include 2 customer complaints, 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.

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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 2 disclosable events. These events include 2 customer complaints, 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

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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 2 disclosable events. These events include 2 customer complaints, 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

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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 2 disclosable events. These events include 2 customer complaints, 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

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