Articles Tagged with UBS FINANCIAL SERVICES INC.

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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

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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.

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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.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Oliver Owens (Owens), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Owens’s most recent customer complaint alleges that Owens recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,621,498.00 on July 07, 2021.

Time frame: 15-Jan-2009 to 07-Jul-2021\, Allegations: Claimant alleges that UBS recommended unsuitable investments of Structured Investment Products in Claimant’s account. Claimant alleges that UBS misrepresented and failed to disclose material facts concerning certain investments and the fees/commissions being charged. Claimant also alleges unauthorized trading.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,400,000.00 on July 21, 2021.

Eric Hynden was named in a customer complaint that asserted the following causes of action: breach of duty of confidentiality; breach of fiduciary duty; and failure to supervise in violation of FINRA Rule 3110.

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2021.

POA alleges the Financial Advisor failed to invest the account as instructed.

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

Time Frame: October 1, 2021 to October 4, 2021\, The client alleges a failure to liquidate his shares as instructed. The client further alleges his share were sold at a price well below what he authorized and that he was not a party to that decision to sell at that price.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mitchell (Mitchell), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Mitchell failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 November 04, 2021.

Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds 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 Laurel Simon Bobrowich (Simon Bobrowich), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Simon Bobrowich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.

The client alleges her FA did not inform her that the recommendation to convert her IRA’S to Roth IRA’s would be a taxable event. The alleged damages were estimated to be in excess of $5,000.00

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