Articles Tagged with UBS FINANCIAL SERVICES INC.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Caban (Caban), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Caban 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 $40,000.00 on April 14, 2020.

Time frame: 2007-2018\<char_lb_r>\, Claimant’s Counsel allege their investment in a Puerto Rico closed-end fund was unsuitable, over-concentrated, and misrepresented as a safe investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vicente Del Rio (Del Rio), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Rio 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 April 28, 2020.

Former client claims that from August 2016 to September 2017 registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client has now filed a similar FINRA arbitration.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kelly (Kelly), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $6,000,000.00 on April 24, 2020.

Time frame:   Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Fulton (Fulton), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fulton 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 $1,400,000.00 on April 28, 2020.

Time frame: 2017-2019\<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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

FINRA BrokerCheck shows a settled customer complaint on May 05, 2020.

Time Frame: March 13, 2020 to March 18, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The clients allege their instructions to have trades placed were not followed. The alleged damages are in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Shreve (Shreve), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shreve 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 $234,448.00 on May 13, 2020.

Time Frame: February 24, 2020 to March 2, 2020 \<char_lb_r>\, The attorney representing the estate alleges a failure to liquidate securities as instructed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Childres 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 $400,000.00 on May 22, 2020.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Rogers (Rogers), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 $1,137,640.00 on June 05, 2020.

Rogers 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; unfair trade and deceptive practices; abuse, neglect, and exploitation of elderly persons and disabled adults; violation of Maryland and Rhode Island fraud statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; and unjust enrichment.

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client alleges his instructions to purchase two (2) equity investments were not acted on.

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame:  April 23, 2020 to June 08, 2020  \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

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