UBS FINANCIAL SERVICES INC.

Broker John Sommo in UBS Financial Services Inc. Firm Has Customer Complaint

March 15, 2025 | by Staff Attorney

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

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

Time frame: TBD\, \, Allegations: Claimants allege that the FA recommended unsuitable and speculative investments, including master limited partnerships in energy sector, when claimants were conservative investors.

Broker Wendy Holmes in UBS Financial Services Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Holmes (Holmes), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 October 04, 2024.

Time frame: 2016-2019 Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Eric Wittenberg in UBS Financial Services Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Wittenberg (Wittenberg), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wittenberg 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 October 04, 2024.

Time frame: 2016-2019 \, 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 Ira Walker in Firm UBS Financial Services Inc.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ira Walker (Walker), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $10,000,000.00 on October 18, 2024.

Time frame: 1-Jan-2023 to 01-Oct-2024 \, Allegations: Plaintiff, who is going through a divorce, asserts that his wife, who is co-trustee of a trust for the benefit of their children and, with Plaintiff, maintains an account at the firm, was allowed to make an allegedly unauthorized transfer from the trust’s account to a beneficiary of the trust – their daughter, who also maintains an account at the firm.

Broker Hamish Grason in UBS Financial Services Inc. Firm Has Customer Complaint

March 1, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Hamish Grason (Grason) 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 Grason was employed by UBS Financial Services Inc. at the time of the activity. If you have been a victim of Grason’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on October 30, 2024.

Time Frame: October 28th 2024, What were the allegations against the individual? The client alleges misappropriation of funds.

There are Recent Customer Complaints with Broker Gabriel Cooperman in Firm UBS Financial Services Inc.

February 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 08, 2024.

Time Frame: November 7th, 2024 to November 8th, 2024\, What were the allegations against the individual – The client alleges that her Financial Advisor failed to put in her trade as instructed.

There are Recent Customer Complaints with Broker Terry Dean in Firm UBS Financial Services Inc.

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Dean (Dean), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dean 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 December 27, 2024.

Time frame: 2022-2023\, Claimant, through counsel, alleges breach of fiduciary duties by negligently accepted a power of attorney and corresponding instructions from Claimant’s daughter resulting in the purportedly improper withdrawal of significant funds from Claimant’s accounts. Claimant further alleges that the characteristics of ‘clients’ portfolio changed, including considerably more transactions larger in size, indicating a change of strategy from the previous two decades, and not in the best interest of the client.

There are Recent Customer Complaints with Broker Matthew Reimann in Firm UBS Financial Services Inc.

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Reimann (Reimann), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reimann 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 December 27, 2024.

Time frame: 2022-2023\, Claimant, through counsel, alleges breach of fiduciary duties by negligently accepted a power of attorney and corresponding instructions from Claimant’s daughter resulting in the purportedly improper withdrawal of significant funds from Claimant’s accounts. Claimant further alleges that the characteristics of ‘clients’ portfolio changed, including considerably more transactions larger in size, indicating a change of strategy from the previous two decades, and not in the best interest of the client.

There are Recent Customer Complaints with Broker John Klaasen in Firm UBS Financial Services Inc.

February 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 13, 2023.

Customer alleges unsuitable investment recommendations and unauthorized trading in March 2020.

Broker Dean J Meniktas in UBS Financial Services Inc. Firm Has Customer Complaint

February 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean J Meniktas (Meniktas), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Meniktas 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 $1,036,306.00 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.