Articles Tagged with UBS FINANCIAL SERVICES INC.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schwartz 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 $1,000,000.00 on December 05, 2023.

Time frame:     January 2021 to February 2022\, \, Allegations: Claimants allege unsuitability and overconcentration of certain investments, and that such investments resulted in principal losses. Claimants further allege misrepresentation with respect to the handling of Claimants’ investment accounts.

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

FINRA BrokerCheck shows a settled customer complaint on February 29, 2024.

Petitioner, the stepson and successor personal representative of his stepmother’s estate, alleges that Ms. Jackman exerted undue influence over the decedent, embezzled and alienated decedent’s property, and financially exploited the decedent.

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

Time Frame: March 7th, 2025 to March 14th, 2025\, \, What were the allegations against the individual? The Executor of the account alleges the Financial Advisor failed to follow his instructions by not liquidating the account.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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