UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Roberto Dejesuspou in Firm UBS Financial Services Inc.

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 15, 2024.

Time frame: unspecified\, allegations: claimant alleges her investments in a puerto rico closed-end fund were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Richard Grassey in Firm UBS Financial Services Inc.

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Grassey (Grassey), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Grassey 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 $3,500,000.00 on December 03, 2024.

Time frame: january 2011 to 2023 claimant’s counsel alleges ubs failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

Broker Siobhan Brady in UBS Financial Services Inc. Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Siobhan Brady (Brady), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Brady 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 November 01, 2024.

Time frame: 2008 and 2022, Claimants allege that account used to collateralize a line of credit was unsuitably allocated in equities. Claimants further allege that the overall investment strategy was not in their “Best Interest”.

Broker James Chin in UBS Financial Services Inc. Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chin (Chin), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chin 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 November 01, 2024.

Time frame: 2008 and 2022, Claimants allege that account used to collateralize a line of credit was unsuitably allocated in equities. Claimants further allege that the overall investment strategy was not in their “Best Interest”.

There are Recent Customer Complaints with Broker William Lawes in Firm UBS Financial Services Inc.

February 1, 2025 | by Staff Attorney

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

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

Client’s attorney alleges, inter alia, that investments strategy recommended to the client was not in his best interest 2023 damages unspecified.

Broker Anibal Drelichman in UBS Financial Services Inc. Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anibal Drelichman (Drelichman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Drelichman 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 $115,680.00 on November 09, 2024.

The client alleged she was charged fees (i.e., commissions) that were not disclosed to her in 2024. On December 8, 2024, the client submitted further allegations that unauthorized trading had taken place in her account in January 2024.

Broker Michael Lipschutz in UBS Financial Services Inc Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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 $1,281,000.00 on December 17, 2024.

Time frame: 2024 Claimants, through counsel, allege that the former UBS advisor improperly invested all of their assets on a highly speculative trading platform that was not authorized by UBS, which resulted in heavy losses.

UBS Financial Services Inc. Broker William Meador Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Meador (Meador), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Meador 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 November 01, 2024.

Time frame: 2008 and 2022. Claimants allege that account used to collateralize a line of credit was unsuitably allocated in equities. Claimants further allege that the overall investment strategy was not in their “Best Interest”.