Articles Tagged with UBS FINANCIAL SERVICES INC.

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2020.

Time frame: Starting Spring of 2014 Claimant’s counsel alleges financial advisor provided unsuitable investment recommendations and failed to pay down Claimant’s line of credit as directed

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Edwards (Edwards), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Edwards 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 $17,500.00 on August 10, 2020.

Time Frame: January 02, 2020 to May 31, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lineberger (Lineberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lineberger 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 $163,105.00 on December 08, 2020.

Time Frame: January 13, 2020 to March 27, 2020  \<char_lb_r>\, The Trustees Attorney alleges the FA failed to reduce the equity stake in the account as instructed. He further alleges had the changes been implemented as requested, it would have insulated the client from subsequent downturn by a significant margin.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ariel Morales Reyes (Morales Reyes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales Reyes 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 $22,400.00 on January 08, 2021.

Time Frame: December 23, 2020 – January 4, 2021  \<char_lb_r>\, The client alleges his instructions to liquidate his security was not followed

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on January 07, 2021.

Time Frame: December 24, 2020 to January 7, 2021 \<char_lb_r>\, The client alleges his instructions to have his security sold was not followed. The alleged damages are estimated to be in excess of $5,000.00

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Whalen (Whalen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Whalen 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 $492,171.00 on January 25, 2021.

Time Frame: January 2, 2017 to November 20, 2020  \<char_lb_r>\, Client’s Counsel alleges the account was invested in unsuitable securities, which were overconcentrated in the energy sector while also material information regarding the nature of the investments was omitted and not provided to the client.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 16, 2026.

Time Frame: January 1, 2016 to January 16th, 2026\, What were the allegations against the individual? The client alleges that the UBS advisory fee billing methodology was not transparent

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 22, 2026.

Time Frame: April 19th, 2024\, \, What were the allegations against the individual? The client alleges their financial advisor did not act in their best interest as they did not warn them about the true tax consequences of their recommendation to sell their variable annuities.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 02, 2026.

Time Frame: February 17th, 2012 \\u2013 November 28th, 2025\, \, What were the allegations against the individual? The client\\u2019s Attorney alleges the Financial Advisor misrepresented the investment by stating the fund was a safe investment, that it will provide stable returns, and invest in diversified assets. The client\\u2019s Attorney further alleges that the investment in the fund was not suitable for his financial objectives and risk tolerance and not in his best interest. The alleged damages are estimated to be in excess of $5,000.00.\,

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2026.

Time Frame: January 3, 2005 to December 30, 2005\, \, The client reopens his complaint and alleges his Financial Advisor defrauded his accounts to enrich himself. The client further alleges forgery, unauthorized purchases, and commingling with his accounts. \,

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design