UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Jose Cornide in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Cornide (Cornide), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cornide 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 $3,000,000.00 on September 25, 2020.

Time frame: Starting around June 2016 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 Marshall Hagen in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marshall Hagen (Hagen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hagen 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 $150,000.00 on September 24, 2020.

Time frame: October 2014 to December 2019 \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

There are Recent Customer Complaints with Broker Scott Merrill in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2020.

Client alleges he was told his fee to managed his account would be \\u00bd percent, however, after review he is being charged \\u00be percent.

Broker Frank Moore in UBS Financial Services INC. Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2020.

Time Frame: March 20, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00

Broker Thomas Sullivan Jr. in UBS Financial Services INC. Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan Jr. (Sullivan Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $200,000.00 on November 12, 2020.

Time Frame: November 2, 2020 to November 12, 2020 What were the allegations against the individual? The client’s husband who had authority to complain alleges the Financial Advisor failed to follow instructions and sold the incorrect equity. The client’s husband further alleges the Financial Advisor failed to purchase Mutual Funds as instructed.

There are Recent Customer Complaints with Broker Eric Snyder in Firm UBS Financial Services INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Snyder (Snyder), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Snyder 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 $205,165.00 on November 03, 2020.

Allegations as stated by Claimant: Time frame: Unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant alleges the recommendation to hold Puerto Rico Municipal Bonds and Closed-End Funds was unsuitable, and that her accounts were unsuitably over-concentrated in those investments. Claimant further alleges that the risk of concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Armani Miller in Firm UBS Financial Services INC.

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 18, 2020.

Time Frame: August 3, 2020 to August 25, 2020 \<char_lb_r>\, What were the allegations against the individual? The client alleges his annuity contract was surrendered without his authorization. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Paul Platek in Firm UBS Financial Services INC.

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Platek (Platek), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Platek 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 $30,000.00 on November 25, 2020.

Time frame: 2010-2014\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in the market and in annuities.

Broker William Hales in UBS Financial Services INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2020.

February 03, 2020 to March 11, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Client alleges the financial advisor failed to liquidate his investments as instructed. The allege damages are estimated to be in excess of $5,000.00

Broker William Garity Medina in UBS Financial Services INC. Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Time Frame: September 23rd, 2019 to December 30th, 2019\, \, What were the allegations against the individual? The client alleges his Financial Advisor colluded with his ex-wife to drain the account via unauthorized transfer of funds.