UBS FINANCIAL SERVICES INC. Tag Archives

Broker Douglas Domian in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Domian (Domian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Domian 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, 2020.

Time Frame: January 24, 2020 to February 28, 2020 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to liquidate his account was not done and a lack of fiduciary responsibility to liquidate on a day when the market without contacting him. The alleged damages are estimated to be in excess of $5,000.00.

Broker Luis Garcia in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Garcia (Garcia), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $120,000.00 on March 04, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Sherry Rowland in Firm UBS Financial Services INC.

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: February 20, 2020 to March 9, 2020 \<char_lb_r>\, The client alleges his instructions to enter his trades were not followed.

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

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: March 2, 2020 to March 9, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Garth Allan in Firm UBS Financial Services INC.

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

Client verbally complained that the financial advisor did not invest his funds as instructed. (1/29/2020-3/13/2020)

Broker Gary Vance in UBS Financial Services INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Vance (Vance), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23 on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020 \<char_lb_r>\, The client alleges he was not informed he could lose money in his investment and that there was no risk.

Broker Stuart Sierer in UBS Financial Services INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Sierer (Sierer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sierer 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 $20,000.00 on March 18, 2020.

Time Frame: April 27, 2018 to March 18, 2018 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges unauthorized trading.

Broker Derek Vance in UBS Financial Services INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Vance (Vance), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23 on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020 The client alleges he was not informed he could lose money in his investment and that there was no risk.

Broker Bradley Hyldahl in UBS Financial Services INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

Time Frame: March 12, 2020 to March 19, 2020 \<char_lb_r>\, The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00

Broker Blair Cannon in UBS Financial Services INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020 \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.