UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker Maria Gasparro in Firm UBS Financial Services INC.

October 19, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Maria Gasparro (Gasparro) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Gasparro was employed by UBS Financial Services INC. at the time of the activity. If you have been a victim of Gasparro’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Client alleges misappropriation of funds from January 2019 through May 2019.

There are Recent Customer Complaints with Broker Joshua Mrozowski in Firm UBS Financial Services INC.

October 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 12, 2025.

April 22nd, 2025 to May 9th, 2025\, What were the allegations against the individual? The firm settled a matter where the client states that his stocks were not purchased as discussed.

Broker Sonia Attkiss in UBS Financial Services INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2025.

Time Frame: March 26th, 2025 to June 18th, 2025\, \, What were the allegations against the individual? The client alleges that the financial advisor did not execute trades as instructed.

There are Recent Customer Complaints with Broker Charles Kaufmann in Firm UBS Financial Services INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Kaufmann (Kaufmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kaufmann 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 $47,925.00 on July 25, 2025.

Time Frame: September 27th, 2024 to February 3rd, 2025\, \, What were the allegations against the individual? The Trustee alleges her instructions of not to engage in any transaction that would cause dividend or interest income in the account was not followed.

There are Recent Customer Complaints with Broker Greg Grajek in Firm UBS Financial Services INC.

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Statement of Claim filed on behalf of the client, who is the ex-wife of the FA, alleges, inter alia, that the ownership of joint accounts held at Morgan Stanley was converted by the FA to his name only and that funds were misappropriated from the accounts Dec 1989 – Dec 2008

There are Recent Customer Complaints with Broker James Rimmel in Firm UBS Financial Services INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rimmel (Rimmel), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimmel 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 $7,000.00 on August 11, 2025.

Time Frame: January 14th, 2021 to August 11th, 2025\, \, What were the allegations against the individual? The Trustee alleges that the Financial Advisor sold unsuitable investments based on the client’s age and life expectancy.

Broker Daniel Ladner in UBS Financial Services INC. Firm Has Customer Complaint

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ladner (Ladner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ladner 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 August 22, 2025.

Time frame: 2014-2024\, \, Allegations: Prose claimant alleges negligence, breach of fiduciary duty and fraud in the handling and disclosures related to their accounts and related securities-backed loan. Claimant further alleges failure to follow instructions to liquidate investments in order to pay down the loan balance and induced her to deposit funds into her investment accounts for investments that were never purchased.

There are Recent Customer Complaints with Broker Peter Black in Firm UBS Financial Services INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $9,900,000.00 on August 29, 2025.

Time frame: 2023-present\, Claimant alleges she only provided authorization to sell half of her shares of Zeta Global Holdings, but that her FA Peter Black sold her entire position. She also alleges she was charged a 3% commission on these shares sold even though they agreed upon a 1% commission.

Broker Howard Woo in UBS Financial Services INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Woo (Woo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 October 21, 2022.

Clients allege representative made misrepresentations beginning in May 2021.

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

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellinger (Dellinger), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Dellinger 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.