UBS FINANCIAL SERVICES INC.

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

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert A Elmo (Elmo), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elmo 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 $1,312,698.56 on April 15, 2021.

Starting January 1, 2011\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimant’s counsel further alleges that Claimants’ risk profiles were changed without knowledge or consent.

There are Recent Customer Complaints with Broker Juan Perez in Firm UBS Financial Services INC.

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2021.

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

Broker Jorge M. Pelegrina in UBS Financial Services INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge M. Pelegrina (Pelegrina), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pelegrina 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 $949,000.00 on April 26, 2021.

Time frame: Unspecified\, Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their accounts were over-concentrated in these investments. They also allege that the risks of investing in Puerto Rico investments were misrepresented.

There are Recent Customer Complaints with Broker John Gottskalkson in Firm UBS Financial Services INC.

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020\, The authorized individual alleges a large amount of stock was liquidated without the full knowledge of her mother. The authorized individual further alleges her mother did not understand the tax implications of this transaction. The authorized individual finally alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The alleged damages are estimated to be in excess of $5,000.00.

Broker David Betz in UBS Financial Services INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020 The authorized individual alleges a large amount of stock was\, liquidated without the full knowledge of her mother. The authorized individual further alleges her\, mother did not understand the tax implications of this transaction. The authorized individual finally\, alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The\, alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Ryan Lurie in Firm UBS Financial Services INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lurie (Lurie), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lurie 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 $60,000.00 on May 13, 2021.

Claimant alleges respondent recommended unsuitable investments, misrepresented or omitted material information, and failed to supervise the advisor during the time period July 2018-September 2020.

There are Recent Customer Complaints with Broker Arthur Randall Iii in Firm UBS Financial Services INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Randall Iii (Randall Iii), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall Iii 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 $60,433.00 on May 27, 2021.

Time Frame: June 2, 2020\, \, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions and sold his shares instead of transferring them to another account. .

Broker Kurt Owen in UBS Financial Services INC. Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2021.

Time Frame: June 18, 2021 \, The client alleges the FA misrepresented that his option would expire worthless as it was actually exercised and there was no action required. The alleged damages were estimated to be in excess of $5,000.00

Broker Joseph Rosen in UBS Financial Services INC. Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Time Frame: October 15, 2024 to November 24th, 2025\, \, What were the allegations against the individual? The client alleges that her Financial Advisor failed to invest the funds as instructed that she deposited in her account. The client further alleges she instructed her Financial Advisor to use dollar cost averaging to invest in Pace.

There are Recent Customer Complaints with Broker Jeffrey Miller in Firm UBS Financial Services INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 July 06, 2021.

Time frame:June 2014 – June 2021\, Allegations: Claimant, widower and former opera singer, alleges FA recommended unsuitable concentration in gold, gold mining and silver, the use of a credit line for liquidity, and purchasing a long-term disability care insurance policy, which ultimately lapsed. Claimant alleges the FA received a commission from the policy.