DID GUILLERMO AGUSTIN EIBEN CAUSE YOU INVESTMENT LOSSES?
Guillermo Eiben Of UBS Financial Services Inc.Has 2 Customer Complaints For Alleged Broker Misconduct
About Guillermo Eiben of UBS Financial Services Inc.?
Guillermo Eiben (CRD #5697705) is currently employed and registered with UBS Financial Services Inc. in New York, New York, having joined the firm on January 3, 2023. Prior to UBS, Eiben was registered with Morgan Stanley from September 2009 until January 2023. He is registered with 10 Self-Regulatory Organizations (SROs) and licensed in 13 U.S. states and territories. Eiben has passed four General Industry/Product Exams and one Multi-State Securities Law Exam but has not completed any Principal/Supervisory Exams. His registration history spans significant firms and a variety of locations, showcasing a breadth of experience in the financial securities industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Guillermo Eiben Customer Complaints and Reviews
Guillermo Eiben has two disclosed customer disputes:
- Closed-No Action (March 2022): A customer complained about the investment strategy utilized in his account, alleging unsuitable trading with unspecified damages. The complaint was denied in August 2022, and no further action was taken.
- Pending Dispute (May 2024): Another customer alleged that the investment strategy implemented from 2014 to 2023 was not in his best interest, involving products such as common and preferred stock and mutual funds. The damage is unspecified, and the complaint remains unresolved as of the last report.
Allegations Against Guillermo Eiben
- Allegation of Unsuitable Trading (2021): The allegation was that Eiben engaged in trading that was unsuitable for the client’s needs, focusing on structured products and options. This complaint was formally denied without any settlement or payment.
- Allegation of Inappropriate Investment Strategy (2014-2023): This ongoing complaint asserts that Eiben did not act in the best interest of the client over nearly a decade, questioning the suitability of the investments selected. The outcome is still pending, with no specific damages quantified.
Guillermo Eiben Red Flags & Your Rights As An Investor
Of course, Guillermo Eiben did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Guillermo Eiben at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Guillermo Eiben has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Guillermo Eiben
If you have questions about UBS Financial Services Inc. and/or Guillermo Eiben and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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