Articles Tagged with UBS FINANCIAL SERVICES INC.

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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.

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

FINRA BrokerCheck shows a pending customer complaint on May 01, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? Claimant alleges his instructions were not followed as funds he submitted were not invested in the 529 plans as instructed but left in the money market account. Claimant further alleges his retirement money was not invested as per his instructions and agreement in the managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 April 29, 2025.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Porter (Porter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Porter 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 $18,007.36 on May 09, 2025.

Time Frame: December 10th, 2020 to May 9th, 2025\, \, What were the allegations against the individual? Client alleges they advised they did not to hold any investments in their portfolio owned or controlled by a CCP person or entity and as a result this investment was unsuitable for their account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ruch (Ruch), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruch 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:     2016  to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mirrielees (Mirrielees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mirrielees 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:     2016  to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Fitzwater (Fitzwater), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzwater 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:     2016  to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2025.

Time Frame: May 19th, 2023 to June 20th, 2023\, What were the allegations against the individual? Client alleges that she “did not authorize the disbursements” from her IRA account in 2023 and the “electronic” signature use on the IRA Distribution Form was not made by her. Client further states she was never advised or consulted regarding the distributions and if she had been, she might have been able to corrected the situation within the 60 day time period.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott D. Jones (Jones), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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:     2016  to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

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

FINRA BrokerCheck shows a settled customer complaint on July 28, 2023.

Time frame:  Early 2018 – September 2019   \, \, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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