UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker John Geoghan in Firm UBS Financial Services INC.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Geoghan (Geoghan), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geoghan 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 $50,000.00 on February 26, 2025.

Time frame: 2019-2021 \, Allegations: Claimant alleges failure to supervise in regards to the unsuitability of certain investments in their account.

Broker Mark Joffrion in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion 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 $15,202.35 on February 27, 2025.

Time Frame: January 3rd, 2023 to January 13th, 2025\, What were the allegations against the individual – The client alleges his Financial Advisor provided unsuitable investment advice and misrepresented the tax ramification of the investments.

There are Recent Customer Complaints with Broker Gregory Geller in Firm UBS Financial Services INC.

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Geller (Geller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geller 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 $288,000.00 on March 05, 2025.

Time frame: 2021-2023 \, Allegations: Claimants allege that they were not informed and there was a failure to disclose that First Republic had suspended dividends on its common and preferred stocks in early 2023. Claimants further allege the yields on US Treasuries that they purchased were misrepresented.

Broker Russell Rabito in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Time frame: 2017-2024 \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Specker (Specker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Specker 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

There are Recent Customer Complaints with Broker Nicole Hiller in Firm UBS Financial Services INC.

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Hiller (Hiller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hiller 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

There are Recent Customer Complaints with Broker Thomas Jenkins in Firm UBS Financial Services Inc.

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 July 30, 2024.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

Broker Deborah Bauer in UBS Financial Services Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2024.

Time frame: 2020\, Claimants allege unsuitability in that the financial advisor recommended and processed the sale of stock without a plan for the funds post-sale, leaving the claimants under-invested with excess liquidity.

Broker Steven Cox in UBS Financial Services Inc. Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cox (Cox), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $79,331.92 on August 07, 2024.

Time Frame: August 2nd, 2024 to August 7th, 2024\, \, What were the allegations against the individual? \, ALLEGATIONS – The client alleges that the Financial Advisor failed to follow instructions to liquidate positions.

Broker Kenneth Angelo in UBS Financial Services Inc. Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 07, 2024.

Time frame: not specified \, \, Allegations: Plaintiff’s Counsel alleges their client was provided unsuitable investment advice and recommendations; they were over weighted in municipal bonds and they paid excessive fees in the managing of their accounts.