UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Zachary Anderson in Firm UBS Financial Services INC.

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Tyler Childs in Firm UBS Financial Services INC.

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.

Broker Michael Meniktas in UBS Financial Services INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Meniktas (Meniktas) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Meniktas was employed by UBS Financial Services INC. at the time of the activity. If you have been a victim of Meniktas’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,036,306.00 on July 02, 2024.

Time frame: 2015-2023\, \, Allegations: Claimant alleges his financial advisor made an unsuitable recommendation to invest in a complex life insurance investment strategy, in a selling away scheme.

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.