UBS FINANCIAL SERVICES INC. Tag Archives

Broker Scott Rosenberg in UBS Financial Services INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Rosenberg (Rosenberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg 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 June 21, 2023.

Time frame: Starting in or about 2016 to April 2023\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Ortal Shachar in UBS Financial Services INC. Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ortal Shachar (Shachar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shachar 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 $1,669,477.49 on September 09, 2019.

Shachar was a subject of the customers’ complaint against his member firm that asserted the following causes of action: negligence, negligent misrepresentation, breach of fiduciary duty, breach of contract, negligent supervision, and violation of the Ohio Securities Act.

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

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Sofranko (Sofranko), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sofranko 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 $300,000.00 on December 13, 2023.

Time frame: March 2020\, \, Allegations: Claimant alleges his financial advisor made an improper hold recommendation in response to Claimant’s request to liquidate his portfolio to pay down his margin line.

There are Recent Customer Complaints with Broker Scott Timko in Firm UBS Financial Services INC.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023\, What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.

There are Recent Customer Complaints with Broker Ricardo Uliambre in Firm UBS Financial Services INC.

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Uliambre (Uliambre), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Uliambre 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 $25,000.00 on February 05, 2024.

Time Frame: March 4th, 2019 to January 23rd, 2020\, \, What were the allegations against the individual? The client alleges that she loaned her Financial Advisor $25,000.00 four years ago and she has not recovered her money.

Broker Sonia Attkiss in UBS Financial Services INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sonia Attkiss (Attkiss), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Attkiss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 07, 2024.

Time frame: January 2018 – Present\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Gerald Mcginley in UBS Financial Services INC. Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.

Time frame: January 2018 – Present\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Susan Morse in UBS Financial Services INC. Firm Has Customer Complaint

May 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $50,000.00 on March 26, 2024.

Claimants alleges, inter alia, that the annuity investment in his account was unsuitable 2013-2022.

Broker Jarrett Strickland in UBS Financial Services INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarrett Strickland (Strickland), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Strickland 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 $45,000.00 on September 26, 2024.

Time Frame: October 1st, 2021 to September 26th, 2024\, \, What were the allegations against the individual – Client verbally alleges that FA solicited him to invest in a financial arrangement in which the client sent $55,000 to form a partnership to purchase land for a housing development for the benefit of the FA, the client and a third party. Client now states that he has requested money back and the FA has not returned.

Broker Paul Addo in UBS Financial Services INC. Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Addo (Addo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Addo 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 $316,819.07 on March 04, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of materials facts and failure to act in their best interest in April 2022.