UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker David Barnes in Firm UBS Financial Services INC.

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Barnes (Barnes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barnes 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 $3,400,000.00 on August 09, 2022.

Barnes was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence, negligent supervision, breach of account agreements, and violations of the FINRA Code of Conduct, directly and indirectly in breach of contracts to follow the FINRA Code of Conduct.

Broker Cristobal Flanagan Margozzini in UBS Financial Services INC. Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Time Frame: July 15, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor did not follow instructions and failed to enter a trade. The alleged damages are in excess of $5,000.00.

There are Recent Customer Complaints with Broker Mitchell Riesenberger in Firm UBS Financial Services INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Riesenberger (Riesenberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Riesenberger 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 $620,000.00 on August 31, 2022.

Time frame: Starting in or about 2015\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Allen Carter Jr. in UBS Financial Services INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Carter Jr. (Carter Jr.), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $7,000.00 on September 06, 2022.

Time Frame August 11, 2022 to August 15, 2022\, \, The client alleges he did not give authorization to execute trades.

Broker Yoon Ji Park in UBS Financial Services INC. Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $511,000.00 on October 17, 2022.

Time Frame: October 29th 2021 to November 15th, 2021.\, What were the allegations against the individual? The client alleges his instructions to transfer shares of his security from his trust account at Fidelity to his trust account at UBS, was not followed.

Broker Kevin Wesner in UBS Financial Services INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wesner (Wesner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesner 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 $1,000,000.00 on December 13, 2022.

Failure to follow instructions, negligence and breach of contract in a life insurance transaction dated around November 2007.

There are Recent Customer Complaints with Broker Roderick Von Lipsey in Firm UBS Financial Services INC.

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Von Lipsey (Von Lipsey), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Von Lipsey 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 $1,900,000.00 on December 14, 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.

Broker Morgan Hees in UBS Financial Services INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 $637,686.15 on January 03, 2023.

Time frame: June 28, 2021 to December 26, 2021\, \, Allegations: Clients allege unsuitability in connection with the merger for certain holdings, which resulted in principal losses.

There are Recent Customer Complaints with Broker Rey Medina Velez in Firm UBS Financial Services INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez 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 $103,924.59 on January 12, 2023.

Time frame: Unspecified\, \, Allegations: Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Robert Anderson in UBS Financial Services INC. Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Anderson (Anderson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $423,191.01 on January 13, 2023.

Time Frame: August 2nd, 2021 to March 8th, 2022\, \, What were the allegations against the individual? The trustee alleges misrepresentation and unsuitability in regards to the death benefit to which the trust and beneficiaries are entitled. The trustee further alleges that decisions regarding the trust were made on the FA’s advice that the death benefit would not decrease if deferred, which proved incorrect.