Articles Tagged with UBS FINANCIAL SERVICES INC.

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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.

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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.

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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.

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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.

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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.

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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

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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.

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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.

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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.

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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.

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