Articles Tagged with UBS FINANCIAL SERVICES INC.

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

FINRA BrokerCheck shows a settled customer complaint on May 05, 2020.

Time Frame: March 13, 2020 to March 18, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The clients allege their instructions to have trades placed were not followed. The alleged damages are in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Shreve (Shreve), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shreve 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 $234,448.00 on May 13, 2020.

Time Frame: February 24, 2020 to March 2, 2020 \<char_lb_r>\, The attorney representing the estate alleges a failure to liquidate securities as instructed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Childres 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 $400,000.00 on May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,137,640.00 on June 05, 2020.

Rogers was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; unfair trade and deceptive practices; abuse, neglect, and exploitation of elderly persons and disabled adults; violation of Maryland and Rhode Island fraud statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; and unjust enrichment.

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client alleges his instructions to purchase two (2) equity investments were not acted on.

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame:  April 23, 2020 to June 08, 2020  \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame:  April 23, 2020 to June 08, 2020  \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Rubin (Rubin), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $600,000.00 on June 25, 2020.

Time frame: July 2017-Present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Gonzalez (Gonzalez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $415,000.00 on July 20, 2020.

Claimant alleges the recommendation to invest and hold PR municipal bonds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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