UBS FINANCIAL SERVICES INC.

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.

There are Recent Customer Complaints with Broker Kenneth Goldhoff 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 Kenneth Goldhoff (Goldhoff), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldhoff 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: November 2013 to December 2017\, Allegations: Claimant’s Counsel alleges that investments made in municipal bonds were more appropriate for individuals in a high tax bracket and not the claimant who was in a low tax bracket and that the bonds were likely not suitable nor in her best interest. Counsel further alleges that transactions were allowed in the client’s Trust assets without proper authorization.

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2022.

Time Frame: May19, 2022 to September 23, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor failed to get him out of his unsuitable assets as instructed. The alleged damaged are estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker Thomas Jenkins in Firm UBS Financial Services INC.

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $4,100,000.00 on June 20, 2025.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

Broker Jason Pirnie in UBS Financial Services INC. Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 04, 2024.

Respondent Pirnie failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Ramon Almonte in UBS Financial Services INC. Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramon Almonte (Almonte), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Almonte 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 November 28, 2023.

Allegations as stated by Claimant: Time frame: Unspecified\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Patrick Millian in UBS Financial Services INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Millian (Millian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Millian 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 $8,000.00 on April 09, 2025.

Time Frame: March 31st, 2025 to April 3rd, 2025\, \, What were the allegations against the individua: lThe client alleges that the financial advisor failed to follow her instructions by investing her account prior to when she wanted. The client further alleges that some of the investment decisions were against her risk tolerance.

Broker Jeffrey Rocca in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 28, 2025.

Time Frame: January 21st, 2025 to May 28th, 2025\, \, What were the allegations against the individual? The client’s son who is the beneficiary alleges that his mother was placed in a strategy that was inconsistent with both her stated profile and personal circumstance. The beneficiary further alleges the strategy was unsuitable for an elderly unsophisticated investor.

Broker Thomas Jenkins in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $4,100,000.00 on June 20, 2025.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

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

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 28, 2025.

Time Frame: January 21st, 2025 to May 28th, 2025\, \, What were the allegations against the individual? The client’s son who is the beneficiary alleges that his mother was placed in a strategy that was inconsistent with both her stated profile and personal circumstance. The beneficiary further alleges the strategy was unsuitable for an elderly unsophisticated investor.