UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Robert Stoner in Firm UBS Financial Services INC.

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stoner (Stoner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Stoner 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 July 11, 2024.

Time frame: 2024\, Claimant alleges that the FA failed to follow instructions to increase his equity asset allocation, which purportedly resulted in unrealized gains to his portfolio.

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

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grueninger (Grueninger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Grueninger 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 $1,885,552.00 on July 10, 2024.

Time frame: July 2018 to December 2019\, \, Allegations: Claimants’ counsel alleges that Respondents allowed Claimants’ former Certified Public Accountant to exceed the scope of his Power of Attorney resulting in his use of Claimants’ line of credit resulting in losses.

Broker Jeffrey K. Johnson in UBS Financial Services INC. Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 25, 2024.

Time Frame: July 19th 2024 – July 24th 2024\, What were the allegations against the individual? The client alleges that his instructions to sell down his equity positions in his account was not done.

There are Recent Customer Complaints with Broker Frank Walter in Firm UBS Financial Services INC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Walter (Walter), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Time frame: January 2021 to January 2025\, Allegations: Claimant alleges UBS made unsuitable recommendations and misrepresentations and did not act in his best interests in connection with claimant’s exercise of options to purchase, resulting in long positions in his employing company’s stock.

There are Recent Customer Complaints with Broker Angelo Esposito in Firm UBS Financial Services INC.

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2024.

Time Frame: April 12th, 2024 to April 30th 2024\, What were the allegations against the individual? The client alleges investment was sold against her instructions and authorization when erroneously sold after being moved in error into a new managed account arrangement.

Broker Antonio Oliveira in UBS Financial Services INC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

Broker Eric Singer in UBS Financial Services INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st. 2017 to September 12th, 2023\, What were the allegations against the individual – The client, through counsel, alleges the financial advisor failed to make sure the account was properly funded to meet the minimum funding standards set forth in the internal revenue code. The client further alleges that the financial advisor did not disclose that the RAM CBP was underfunded when he provided advice to transfer funds from the client’s 401K to the RAM CBP.

There are Recent Customer Complaints with Broker Rafael Williamson in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

There are Recent Customer Complaints with Broker Victoria Conigliaro in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro 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 $140,301.00 on February 07, 2025.

Time Frame: October 2nd, 2023 to June 28th, 2024\, What were the allegations against the individual? The attorney for Trustee alleges that transactions were made in the client’s account that were not in the best interest of the client and outside the normal withdrawal patterns. Attorney further alleges that no review was conducted to prevent the suspicious and unusual withdrawals resulting in depletion of the client’s account resulting in elder abuse.

There are Recent Customer Complaints with Broker Christopher Halstedt in Firm UBS Financial Services INC.

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 14, 2025.

Time Frame: September 6th, 2024 to February 19th, 2025\, What were the allegations against the individual? The client verbally alleges her instructions to not liquidate her equity positions were not followed.