UBS FINANCIAL SERVICES INC.

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.

There are Recent Customer Complaints with Broker Angel Canabal in Firm UBS Financial Services INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Canabal (Canabal), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Canabal 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 $400,000.00 on March 10, 2025.

Time frame: \, Plaintiffs allege that their respective financial advisors recommended that they purchase and/or continue to hold Puerto Rico bonds and Puerto Rico closed-end bond funds, and omitted and misrepresented the risks of said securities, despite Puerto Rico’s deteriorating financial condition, resulting in losses when the Puerto Rico bond market collapsed in 2013.

Broker Ricardo Eboli Kodesh in UBS Financial Services INC. Firm Has Customer Complaint

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Eboli Kodesh (Eboli Kodesh), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Eboli Kodesh 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 $400,000.00 on March 14, 2025.

Time frame: 2010-Present\, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.