Articles Tagged with UBS FINANCIAL SERVICES INC.

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

FINRA BrokerCheck shows a settled customer complaint on August 02, 2023.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dever (Dever), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 $200,000.00 on August 22, 2023.

Time Frame: August 21, 2022\, \, What were the allegations against the individual? The Client alleges his Financial Advisor did not follow his instructions as he did not want his shares all sold at one time but rather feathered thru to maximize the value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hardy (Hardy), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hardy 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 $11,053.00 on August 25, 2023.

Time Frame: December 23rd 2021 to July 16th 2022\, \, What were the allegations against the individual: The POA alleges unsuitability in that the investments did not align with the client’s investment risk profile.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Byers (Byers), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Byers 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 $600,000.00 on August 22, 2023.

Time frame:    March 2020 through mid-2022\, \, Allegations: Clients allege unsuitability and misrepresentation in connection with a put options writing strategy, which resulted in principal losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $700,000.00 on September 01, 2023.

Time frame:      2016-2020\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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

FINRA BrokerCheck shows a settled customer complaint on September 12, 2023.

Time Frame: January 23rd 2023 to June 12th 2023\, \, What were the allegations against the individual? The client’s attorney alleges the portfolio of preferred securities was an unsuitable investment and the strategy was an overconcentration for his client. The client’s attorney further alleges that the client’s were repeatedly advised that everything is safe. The alleged damages are estimated to be in excess of $5,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on October 10, 2023.

Time Frame: August 13, 2021 to December 7th, 2022\, \, What were the allegations against the individual? The client’s attorney alleges the recommendation to purchase a security was not in his client’s best interest, was unsuitable, and was a breach of fiduciary duty. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haydee Delgado (Delgado), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado 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 $1,500,000.00 on October 12, 2023.

Time frame: 2006-2023\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fidel Trejo (Trejo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Trejo 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 $1,500,000.00 on October 12, 2023.

Time frame: 2006-2023\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds 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.

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

FINRA BrokerCheck shows a settled customer complaint on October 25, 2023.

Time Frame: September 8th, 2023 to October 16th 2023\, \, What were the allegations against the individual? The Client alleges the SRCA failed to follow his instructions by not executing trades in all of the accounts provided. Alleged damages are estimated to be in excess of $5,000.00.

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