UBS FINANCIAL SERVICES INC.

Broker Richard Mirrielees in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mirrielees (Mirrielees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mirrielees 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Elizabeth Fitzwater in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Fitzwater (Fitzwater), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzwater 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Leila Larijani in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2025.

Time Frame: May 19th, 2023 to June 20th, 2023\, What were the allegations against the individual? Client alleges that she “did not authorize the disbursements” from her IRA account in 2023 and the “electronic” signature use on the IRA Distribution Form was not made by her. Client further states she was never advised or consulted regarding the distributions and if she had been, she might have been able to corrected the situation within the 60 day time period.

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

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott D. Jones (Jones), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Matthew Buchsbaum in UBS Financial Services INC. Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 28, 2023.

Time frame: Early 2018 – September 2019 \, \, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Steve Liddell in Firm UBS Financial Services INC.

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 02, 2023.

Time frame: 2018-2019 \, \, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Donald Dever in UBS Financial Services INC. Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dever (Dever), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 $200,000.00 on August 22, 2023.

Time Frame: August 21, 2022\, \, What were the allegations against the individual? The Client alleges his Financial Advisor did not follow his instructions as he did not want his shares all sold at one time but rather feathered thru to maximize the value.

Broker Michael Hardy in UBS Financial Services INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hardy (Hardy), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hardy 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 $11,053.00 on August 25, 2023.

Time Frame: December 23rd 2021 to July 16th 2022\, \, What were the allegations against the individual: The POA alleges unsuitability in that the investments did not align with the client’s investment risk profile.

Broker Raymond Byers in UBS Financial Services INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Byers (Byers), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Byers 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 August 22, 2023.

Time frame: March 2020 through mid-2022\, \, Allegations: Clients allege unsuitability and misrepresentation in connection with a put options writing strategy, which resulted in principal losses.

There are Recent Customer Complaints with Broker Mark Elias in Firm UBS Financial Services INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $700,000.00 on September 01, 2023.

Time frame: 2016-2020\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.