UBS FINANCIAL SERVICES INC.

Broker Mary Dineen in UBS Financial Services INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Dineen (Dineen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dineen 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 $540,000.00 on February 10, 2023.

Time frame: 2018-present \, \, Allegations: Claimant alleges funds from trust were removed without authorization or consent, and funds have been allegedly missing.

There are Recent Customer Complaints with Broker Dimitri Rassias in Firm UBS Financial Services INC.

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleges that RR made unsuitable recommendations to invest in a variable annuity and certain other securities.

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

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Eustis Jr. (Eustis Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Eustis 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 $4,000,000.00 on March 23, 2023.

This case involves an investment relating to the purchase and resale of two Solar Centaur 50 Turbine Generator Sets (Gen-Sets) that failed to meet the investor’s expectations. Plaintiff [REDACTED] is an individual investor who resides in Texas. ECF 1-4 ,r,r 3, 10. Defendant Industrial Motor Power Corporation (IMPC) is a broker and wholesaler of power\\u00b7 generator sets and other equipment that is organized under the laws of California and has its principal place of business in California.

There are Recent Customer Complaints with Broker Hector Mercado in Firm UBS Financial Services INC.

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Mercado (Mercado), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mercado 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 March 23, 2023.

Time frame: Unspecified\, \, Allegations: 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.

There are Recent Customer Complaints with Broker Gregory Foster in Firm UBS Financial Services INC.

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Foster (Foster), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $300,000.00 on March 27, 2023.

Time Frame: February 22nd, 2023 to March 9th, 2023 \, \, What were the allegations against the individual? The client alleges that the FA failed to timely file a required form 144 that caused his trade to be cancelled. Due to this cancellation, the client suffered a significant loss.

Broker Marc Haggar in UBS Financial Services INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Haggar (Haggar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Haggar 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 $70,000.00 on April 10, 2023.

Time frame: December 2020-February 2023\, \, Client alleges a misstatement of fact and a failure to follow instructions regarding certain investments which were agreed to be retained once brought into UBS.

There are Recent Customer Complaints with Broker Marisol Colomer 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 Marisol Colomer (Colomer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Colomer 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 $11,000.00 on May 14, 2023.

Time Frame: March 6th, 2023 to May 11th, 2023\, \, The client alleges a failure to follow instructions as his money was not invested in the correct account.

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.