UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Peter Black in Firm UBS Financial Services INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $9,900,000.00 on August 29, 2025.

Time frame: 2023-present\, Claimant alleges she only provided authorization to sell half of her shares of Zeta Global Holdings, but that her FA Peter Black sold her entire position. She also alleges she was charged a 3% commission on these shares sold even though they agreed upon a 1% commission.

Broker Howard Woo in UBS Financial Services INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Woo (Woo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 $250,000.00 on October 21, 2022.

Clients allege representative made misrepresentations beginning in May 2021.

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

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellinger (Dellinger), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Dellinger 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ 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 Robert Mueller in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mueller 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ 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 Chester Donnally Jr. in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chester Donnally Jr. (Donnally Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Donnally 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 $5,000,000.00 on November 02, 2022.

Time frame: 2017-2019\, 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 Samuel Rosis in Firm UBS Financial Services INC.

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2022.

Time Frame: May 12th, 2021 to May12th, 2021\, \, What were the allegations against the individual? The client alleges unauthorized trading. The alleged damages are in excess of $5,000.00.

Broker Charles Lawson in UBS Financial Services INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lawson (Lawson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $286,779.00 on December 07, 2022.

Time frame: January 2021- April 2022 \, \, Allegations: Claimants allege their financial advisor made an unauthorized purchase of a mutual fund and incorrectly advised that the fund would provide a hedge for general equity market exposure.

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

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Westerman (Westerman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Westerman 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 $10,000.00 on December 06, 2022.

Time Frame: September 6th, 2022 to September 26th, 2022\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not follow his instructions by liquidating his account, in a timely manner, in order to move control of his Donor Advised Fidelity fund to himself.

Broker Jack Riley in UBS Financial Services INC. Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 01, 2023.

Time frame: Starting in or about 2017\, \, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Vassalotti (Vassalotti), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vassalotti 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 $974,094.12 on February 01, 2023.

Time Frame: October 30th, 1998 to August 1st, 2022\, \, What were the allegations against the individual? Counsel alleges that his client was recommended an unsuitable investment strategy in which material misrepresentations were made. Counsel further alleges the strategy was not purchased in the client’s best interest.