Articles Tagged with UBS FINANCIAL SERVICES INC.

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: March 2, 2020 to March 9, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\,  . The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

Client verbally complained that the financial advisor did not invest his funds as instructed. (1/29/2020-3/13/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Vance (Vance), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23  on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020  \<char_lb_r>\, The client alleges he was not informed he could lose money in his investment and that there was no risk.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Sierer (Sierer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sierer 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 $20,000.00  on March 18, 2020.

Time Frame: April 27, 2018 to March 18, 2018 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges unauthorized trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Vance (Vance), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23  on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020 The client alleges he was not informed he could lose money in his investment and that there was no risk.

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

Time Frame: March 12, 2020 to March 19, 2020  \<char_lb_r>\, The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020  \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Shull (Shull), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shull 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 $730,631.25  on March 23, 2020.

Shull was a subject of the customers\\u2019 complaint against his member firm that asserted the following causes of action: fraud; misrepresentation; unsuitability; unsuitable product; breach of fiduciary duty; negligence; and breach of contract.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 9, 2020 to March 19, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to match all of his accounts to low risk like one of his other accounts was not completed. The client further alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.

Client alleges mutual fund investment was misrepresented. 2019-2020 damages unspecified

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