UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 $1,500,000.00 on April 24, 2024.

Time frame: Unspecified\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Patrick Moriarty in UBS Financial Services INC. Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

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

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

Time Frame: January 3rd, 2022 to December 29th, 2023 What were the allegations against the individual – The Client alleges the Financial Advisor did unauthorized trading in the account and realized losses in excess of 1.1M dollars.

There are Recent Customer Complaints with Broker Arnold I Alpert in Firm UBS Financial Services INC.

May 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 02, 2024.

Time Frame: August 1st 2006 – April 29th 2024\, What were the allegations against the individual ? The client alleges he was overcharged on fees as he was told 1 percent but was charged 1.5 percent and is requesting restitution.

Broker Robbyn Gayer in UBS Financial Services INC. Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robbyn Gayer (Gayer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gayer 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 $20,230.42 on May 06, 2024.

Time Frame: April 23rd, 2024\, \, What were the allegations against the individual? The Trustee alleges that the commissions were not disclosed and were excessive considering the fact that they paid their fee in the fee based account prior.

There are Recent Customer Complaints with Broker Daniel Silverberg in Firm UBS Financial Services INC.

May 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2024.

Time Frame: October 01, 2021 to May 14, 2024\, \, What were the allegations against the individual? \, The client alleges the Financial Advisor assured that, through his management of the remaining funds in the account, he would generate more than sufficient funds to cover specific loan payments. The client further alleges the interest payable on the principal balance of the loan far exceeded the money being generated by investments selected by the Financial Advisor.

Broker Guillermo Eiben in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2024.

Client alleged that the investment strategy implemented in his accounts was not in his best interest 2014-2023.

Broker Jose Mendez Perez in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

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

Time frame: Unspecified.\, Allegations: Claimant alleges the investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Aishka Lugo in UBS Financial Services INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aishka Lugo (Lugo), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lugo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 10, 2024.

Time frame: Unspecified\, \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Benjamin Segal in Firm UBS Financial Services INC.

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Segal (Segal), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Segal 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 $25,000.00 on June 18, 2024.

Time Frame: May 5th, 2022 to July 20th, 2023\, \, What were the allegations against the individual? Counsel representing the trustee alleges that individualized custom services and advise that were represented in the marketing material given to them by the Financial Advisor were not provided causing material financial damages to the client.

Broker Jonathan Barter in UBS Financial Services INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Barter (Barter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 $18,000,000.00 on June 25, 2024.

Time frame: 2020-2024\, Allegations: Claimant alleges his financial advisor made an unsuitable recommendation to invest in municipal bonds.