UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Cory Durham in Firm UBS Financial Services INC.

June 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Durham (Durham), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Durham 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 $100,000.00 on August 25, 2020.

Durham 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; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.

There are Recent Customer Complaints with Broker Donald Chomas in Firm UBS Financial Services INC.

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Chomas (Chomas), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Chomas 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 $85,000.00 on April 22, 2026.

Time Frame: December 26, 2019 – to April 14th, 2026\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not manage his account in accordance with Finra suitability standards and in his best interest.\,

Broker Carl Pierre Louis in UBS Financial Services INC. Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 27, 2026.

Time Frame: January 2nd 2026 – to February 17th, 2026\, \, What were the allegations against the individual? The client alleges that the Advisor team failed to follow his instructions to redeem his investment in a timely manner.\, \,

Broker Adam Rosenthal in UBS Financial Services INC. Firm Has Customer Complaint

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Time Frame: June 3rd, 2024 to April 16th, 2026\, \, What were the allegations against the individual? The client alleges that the Financial Advisor and the Senior Wealth Strategy Associate sent out wire transfers that were illegal and without his knowledge and authorization to his ex wife.\,

There are Recent Customer Complaints with Broker Grace T Damen in Firm UBS Financial Services INC.

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace T Damen (Damen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Damen 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 $6,006.01 on May 01, 2026.

Time Frame: January 15th, 2020\, What were the allegations against the individual? The client\\u2019s Attorney alleges that despite clear instructions provided to pay $200,000 dollars to the IRS, only $100,000 was sent. \,

There are Recent Customer Complaints with Broker Cherrie Brickhouse in Firm UBS Financial Services INC.

June 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.

Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.

There are Recent Customer Complaints with Broker John Griep in Firm UBS Financial Services INC.

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

Time Frame: June 17th, 2025 to July 23rd, 2025\, \, What were the allegations against the individual? The client alleges that his Financial Advisor failed to follow his instructions by moving money from his traditional IRA to cover a townhouse purchase, instead of from his Roth IRA. The client further alleges, by failing to follow his instructions, this caused him tax implications, which he wants resolved.

Broker Cory Durham in UBS Financial Services INC. Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Durham (Durham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Durham 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 $100,000.00 on August 25, 2020.

Durham 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; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.

Broker Federico Lopez in UBS Financial Services INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Federico Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $112,000.00 on December 28, 2020.

Time frame: 2004-present\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker David Randall in Firm UBS Financial Services INC.

May 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $152,395.05 on March 24, 2026.

The client alleges misappropriation of funds from an IRA Rollover in 2020.