UBS FINANCIAL SERVICES INC.

Broker Steven Delsesto in UBS Financial Services INC. Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

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. \,

Broker Ajay Desai in UBS Financial Services INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Desai (Desai), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Desai 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 $1,000,000.00 on August 31, 2020.

Time frame: 2012-2020\<char_lb_r>\, Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.

Broker Gerard Melley in UBS Financial Services INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Melley (Melley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Melley 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 $300,000.00 on September 17, 2020.

Time frame: 2013 – present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and mismanagement with respect to recommendations and handling of accounts.

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

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pasquariello (Pasquariello), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pasquariello 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 $13,511.00 on September 21, 2020.

Time Frame: December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

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.