UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Ernie Kloock in Firm UBS Financial Services INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernie Kloock (Kloock), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kloock 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 $206,000.00 on May 02, 2023.

Time frame: 2021-2023 \, Claimant’s Counsel alleges that the recommendations to purchase and overconcentrate the clients’ accounts in preferred stock were unsuitable. Counsel further alleges the risks associated with preferred stock were not explained, the clients instructions to sell the stock were refused as well as other instructions given by the client were not followed.

There are Recent Customer Complaints with Broker Jorge Pesquera in Firm UBS Financial Services INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Pesquera (Pesquera), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pesquera 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 $500,000.00 on April 25, 2023.

Claimant alleges the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable, and that his accounts were unsuitably over concentrated in Puerto Rico investments. He also alleges that the risks of investing in and concentration in Puerto Rico investments was misrepresented.

Broker John Saunders in UBS Financial Services INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Saunders (Saunders), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders 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 $400,000.00 on May 11, 2023.

Time frame: January 2013 – May 2023 \, \, Allegations: Claimant alleges unsuitability regarding recommendations made by the FA for products that did not meet Claimant’s liquidity needs.

Broker Daisy Feng in UBS Financial Services INC. Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Time Frame: October 4th 2021 to May 30th 2023\, \, What were the allegations against the individual? The Trustee alleges the Financial Advisor did not give him prior notice before buying the Equity. The alleged damages are estimated to be in excess of $5,000.00.

Broker Noah Simon in UBS Financial Services INC. Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2023.

Time frame: 2017 – Present.\, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Alexis Molina in UBS Financial Services INC. Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Molina (Molina), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Molina 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 $90,000.00 on June 08, 2023.

Time Frame: January 03, 2023 to June 07, 2023\, \, What were the allegations against the individual? The client alleges failure to follow instructions by not executing a trade correctly.

Broker Victor Tomassini in UBS Financial Services INC. Firm Has Customer Complaint

August 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 10, 2023.

Time frame: Unspecified\, \, Allegations: Claimant alleges his investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Colleen Schuhmann in UBS Financial Services INC. Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 14, 2023.

Time Frame: March 24th, 2022 to April 25th, 2022\, \, What were the allegations against the individual? The client alleges the Financial Advisor failed to enter trades as instructed. The alleged damages are estimated to be in excess of $5000.00.

There are Recent Customer Complaints with Broker Zachary Werner in Firm UBS Financial Services INC.

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Werner (Werner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Werner 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Kenneth Angelo in UBS Financial Services INC. Firm Has Customer Complaint

August 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 27, 2025.

Allegations as stated by Claimant: Time frame: Unspecified\, Allegations: Claimant alleges unsuitable investment advice, heavy concentration in municipal bonds, and recommended margin loan.