UBS FINANCIAL SERVICES INC.

Broker Thomas Garity 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 Thomas Garity (Garity), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garity 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.

There are Recent Customer Complaints with Broker Michael Lipschutz in Firm UBS Financial Services INC.

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lipschutz (Lipschutz), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lipschutz 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 $546,000.00 on March 19, 2025.

Time frame: 2024\, Claimant’s counsel alleges that retired UBS advisor Mr. Lipschutz improperly invested all of their assets on a highly speculative trading platform that was outside of and not authorized by UBS, which resulted in heavy losses

There are Recent Customer Complaints with Broker Daniel Silverberg in Firm UBS Financial Services INC.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg 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 $1,127,695.79 on March 28, 2025.

Time frame: 2021-2024 \, \, Allegations: Claimant alleges he should have been advised to satisfy his securities backed loan balance in 2021. He further alleges his securities accounts were invested too aggressively resulting in large losses that impeded his ability to support the loan and continue investing.

Broker R Mitchell Wickham in UBS Financial Services INC. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker R Mitchell Wickham (Wickham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wickham 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 $1,194,869.00 on April 02, 2025.

Time frame: 2021-2023 \, \, Allegations: Claimants allege they were victims of financial exploitation leading to the wrongful withdrawal of funds from their accounts, which funds were ultimately transferred to scammers. Claimants allege UBS ignored red flags that the transactions were suspicious and failed to identify/deter the fraudulent transfers.

Broker Gregory Cash in UBS Financial Services INC. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Cash (Cash), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cash 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 $1,194,869.00 on April 02, 2025.

Time frame: 2021-2023 \, Allegations: Claimants allege they were victims of financial exploitation leading to the wrongful withdrawal of funds from their accounts, which funds were ultimately transferred to scammers. Claimants allege UBS ignored red flags that the transactions were suspicious and failed to identify/deter the fraudulent transfers.

Broker Jacque Kuchta in UBS Financial Services INC. Firm Has Customer Complaint

May 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 11, 2025.

Time Frame: March 26th, 2021 to January 13th, 2025\, \, What were the allegations against the individual? The client alleges that her Financial Advisor placed her in an unsuitable portfolio based on her financial needs, goals and risk tolerance. The client further alleges her Financial Advisor did not uphold his fiduciary duty and did not act in her best interest.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 $1,500,000.00 on April 24, 2024.

Time frame: Unspecified\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Patrick Moriarty in UBS Financial Services INC. Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 30, 2024.

Time Frame: January 3rd, 2022 to December 29th, 2023 What were the allegations against the individual – The Client alleges the Financial Advisor did unauthorized trading in the account and realized losses in excess of 1.1M dollars.

There are Recent Customer Complaints with Broker Arnold I Alpert in Firm UBS Financial Services INC.

May 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 02, 2024.

Time Frame: August 1st 2006 – April 29th 2024\, What were the allegations against the individual ? The client alleges he was overcharged on fees as he was told 1 percent but was charged 1.5 percent and is requesting restitution.

Broker Robbyn Gayer in UBS Financial Services INC. Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robbyn Gayer (Gayer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gayer 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 $20,230.42 on May 06, 2024.

Time Frame: April 23rd, 2024\, \, What were the allegations against the individual? The Trustee alleges that the commissions were not disclosed and were excessive considering the fact that they paid their fee in the fee based account prior.