UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Greg Grajek 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 Greg Grajek (Grajek), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Grajek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Statement of Claim filed on behalf of the client, who is the ex-wife of the FA, alleges, inter alia, that the ownership of joint accounts held at Morgan Stanley was converted by the FA to his name only and that funds were misappropriated from the accounts Dec 1989 – Dec 2008

There are Recent Customer Complaints with Broker James Rimmel in Firm UBS Financial Services INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rimmel (Rimmel), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimmel 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 $7,000.00 on August 11, 2025.

Time Frame: January 14th, 2021 to August 11th, 2025\, \, What were the allegations against the individual? The Trustee alleges that the Financial Advisor sold unsuitable investments based on the client’s age and life expectancy.

Broker Daniel Ladner in UBS Financial Services INC. Firm Has Customer Complaint

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ladner (Ladner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ladner 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 August 22, 2025.

Time frame: 2014-2024\, \, Allegations: Prose claimant alleges negligence, breach of fiduciary duty and fraud in the handling and disclosures related to their accounts and related securities-backed loan. Claimant further alleges failure to follow instructions to liquidate investments in order to pay down the loan balance and induced her to deposit funds into her investment accounts for investments that were never purchased.

There are Recent Customer Complaints with Broker Peter Black in Firm UBS Financial Services INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $9,900,000.00 on August 29, 2025.

Time frame: 2023-present\, Claimant alleges she only provided authorization to sell half of her shares of Zeta Global Holdings, but that her FA Peter Black sold her entire position. She also alleges she was charged a 3% commission on these shares sold even though they agreed upon a 1% commission.

Broker Howard Woo in UBS Financial Services INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Woo (Woo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 $250,000.00 on October 21, 2022.

Clients allege representative made misrepresentations beginning in May 2021.

Broker Michael Dellinger in UBS Financial Services INC. Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellinger (Dellinger), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Dellinger 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ 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 Robert Mueller in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mueller 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ 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 Chester Donnally Jr. in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chester Donnally Jr. (Donnally Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Donnally Jr. 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 $5,000,000.00 on November 02, 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.

There are Recent Customer Complaints with Broker Samuel Rosis in Firm UBS Financial Services INC.

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2022.

Time Frame: May 12th, 2021 to May12th, 2021\, \, What were the allegations against the individual? The client alleges unauthorized trading. The alleged damages are in excess of $5,000.00.

Broker Charles Lawson in UBS Financial Services INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lawson (Lawson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $286,779.00 on December 07, 2022.

Time frame: January 2021- April 2022 \, \, Allegations: Claimants allege their financial advisor made an unauthorized purchase of a mutual fund and incorrectly advised that the fund would provide a hedge for general equity market exposure.