DID SIOBHAN BRADY CAUSE YOU INVESTMENT LOSSES?
About Siobhan Brady of UBS Financial Services Inc.?
Siobhan Brady (CRD #5151594) located in Purchase, New York, has a long-standing employment history in the financial industry. She has been employed with UBS Financial Services Inc. since September 22, 2008, as a registered broker and as an investment adviser since October 2021. Prior to her tenure at UBS, she briefly worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated in White Plains, NY (April 2008 – September 2008). Brady is registered with nine self-regulatory organizations (SROs) and holds active licenses in 44 U.S. states and territories, making her widely authorized to conduct securities transactions across the country. She has passed two general industry/product exams and one multi-state securities law exam but has not passed any principal/supervisory exams. She, and no terminations related to misconduct or regulatory violations have been reported.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Siobhan Brady Customer Complaints and Reviews
Siobhan Brady has one disclosure event, which is summarized below:
- Customer Dispute
- Date Filed: November 1, 2024
- Complaint: Claimants allege that an account used to collateralize a line of credit was unsuitably allocated in equities and that the overall investment strategy was not in their “best interest.”
- Timeframe of Dispute: 2008 – 2022
- Product Involved: Equities
- Alleged Damages: $1,000,000
- Status: Pending arbitration under FINRA ().
- Status: The case is being reviewed through FINRA arbitration, under Case #24-02362.
Allegations Against Siobhan Brady
- The pending customer dispute centers on suitability and fiduciary duty concerns, particularly regarding an account used to secure a line of credit.
- The claimants allege that the equity-heavy allocation was inappropriate for the purpose of collateralization, suggesting a potential mismatch between investment strategy and client needs.
- The dispute spans 14 years (2008-2022), which may raise questions about long-term portfolio management decisions and whether risks were adequately disclosed.
- The $1,000,000 in alleged damages is significant, indicating a substantial financial impact on the claimants.
Siobhan Brady Red Flags & Your Rights As An Investor
Of course, Siobhan Brady 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 Siobhan Brady at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Siobhan Brady 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 firm’s 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 Siobhan Brady
If you have questions about UBS Financial Services Inc. and/or Siobhan Brady 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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