UBS FINANCIAL SERVICES INC.

Broker Yoon Ji Park in UBS Financial Services INC. Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $511,000.00 on October 17, 2022.

Time Frame: October 29th 2021 to November 15th, 2021.\, What were the allegations against the individual? The client alleges his instructions to transfer shares of his security from his trust account at Fidelity to his trust account at UBS, was not followed.

Broker Kevin Wesner in UBS Financial Services INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wesner (Wesner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesner 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 13, 2022.

Failure to follow instructions, negligence and breach of contract in a life insurance transaction dated around November 2007.

There are Recent Customer Complaints with Broker Roderick Von Lipsey in Firm UBS Financial Services INC.

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Von Lipsey (Von Lipsey), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Von Lipsey 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 $1,900,000.00 on December 14, 2022.

Time frame: 2017-2019\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Morgan Hees in UBS Financial Services INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 $637,686.15 on January 03, 2023.

Time frame: June 28, 2021 to December 26, 2021\, \, Allegations: Clients allege unsuitability in connection with the merger for certain holdings, which resulted in principal losses.

There are Recent Customer Complaints with Broker Rey Medina Velez in Firm UBS Financial Services INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez 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 $103,924.59 on January 12, 2023.

Time frame: Unspecified\, \, Allegations: Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Robert Anderson in UBS Financial Services INC. Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert 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 settled customer complaint with a damage request of $423,191.01 on January 13, 2023.

Time Frame: August 2nd, 2021 to March 8th, 2022\, \, What were the allegations against the individual? The trustee alleges misrepresentation and unsuitability in regards to the death benefit to which the trust and beneficiaries are entitled. The trustee further alleges that decisions regarding the trust were made on the FA’s advice that the death benefit would not decrease if deferred, which proved incorrect.

There are Recent Customer Complaints with Broker Maria Gasparro in Firm UBS Financial Services INC.

October 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Client alleges misappropriation of funds from January 2019 through May 2019.

There are Recent Customer Complaints with Broker Joshua Mrozowski in Firm UBS Financial Services INC.

October 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 12, 2025.

April 22nd, 2025 to May 9th, 2025\, What were the allegations against the individual? The firm settled a matter where the client states that his stocks were not purchased as discussed.

Broker Sonia Attkiss in UBS Financial Services INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2025.

Time Frame: March 26th, 2025 to June 18th, 2025\, \, What were the allegations against the individual? The client alleges that the financial advisor did not execute trades as instructed.

There are Recent Customer Complaints with Broker Charles Kaufmann in Firm UBS Financial Services INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Kaufmann (Kaufmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kaufmann 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 $47,925.00 on July 25, 2025.

Time Frame: September 27th, 2024 to February 3rd, 2025\, \, What were the allegations against the individual? The Trustee alleges her instructions of not to engage in any transaction that would cause dividend or interest income in the account was not followed.