Apr 5, 2023

Luis Garcia formerly with UBS Financial Services Inc.

DID LUIS ALBERTO GARCIA CAUSE YOU INVESTMENT LOSSES? Luis Garcia Formerly With UBS Financial Services Inc. Has 57 Customer Complaints For Alleged Broker Misconduct Luis Garcia Customer Complaints Luis Garcia has been the subject of 57 customer complaints that we know about to recover investment losses. Fifty-two of the customer complaints resettled by UBS Financial Services in favor of the investors. Only one customer complaint was denied by the brokerage firm. The other four customer complaints are pending and FINRA arbitration proceedings. Allegations Against Luis Garcia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are all related to the offer and sale of Puerto Rico municipal bonds and Puerto Rico denominated closed-end bond funds. The allegations are generally for misrepresentations and omissions making statements made misleading. There are suitability allegations related to the overconcentration of one geographic area in customers’ accounts. Luis Garcia Red Flags & Your Rights As An Investor Of course, Luis Garcia 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 Luis Garcia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Garcia 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 Luis Garcia If you have questions about UBS Financial Services Inc. and/or Luis Garcia 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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Mar 27, 2023

Kevin Wright of Rockefeller Financial LLC

DID KEVIN ROBERT WRIGHT CAUSE YOU INVESTMENT LOSSES? Kevin Wright Of Rockefeller Financial LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Kevin Wright Customer Complaint Kevin Wright has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations resulting in principal losses. UBS Financial Services settled the customer complaint favorably for the investor. Kevin Wright Red Flags & Your Rights As An Investor Of course, Kevin Wright 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 Kevin Wright at Rockefeller Financial LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Wright has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial LLC and 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 Rockefeller Financial LLC Due To Kevin Wright If you have questions about Rockefeller Financial LLC, UBS Financial Services Inc. and/or Kevin Wright 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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Mar 26, 2023

Kimberly Gillen of UBS Financial Services Inc.

DID KIMBERLY SUE GILLEN CAUSE YOU INVESTMENT LOSSES? Kimberly Gillen Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Kimberly Gillen Customer Complaint Kimberly Gillen has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to transfer an inherited IRA so that the trust could distribute the assets to the trust beneficiaries. UBS Financial Services denied the customer complaint and to date, the customer has not taken any further action. Kimberly Gillen Red Flags & Your Rights As An Investor Of course, Kimberly Gillen 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 Kimberly Gillen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kimberly Gillen 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 Kimberly Gillen If you have questions about UBS Financial Services Inc. and/or Kimberly Gillen 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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Mar 25, 2023

Kirk Badii of Independent Financial Group, LLC

DID KIRK BADII CAUSE YOU INVESTMENT LOSSES? Kirk Badii Of Independent Financial Group, LLC And Formerly With Cantella & Co., Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Kirk Badii Customer Complaints Kirk Badii has been the subject of 6 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by UBS Financial Services in favor of the investors. The other four customer complaints were denied by Kirk Badii’s former employer and the customers took no further action. Allegations Against Kirk Badii A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kirk Badii Red Flags & Your Rights As An Investor Of course, Kirk Badii 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 Kirk Badii at Independent Financial Group, LLC and Cantella & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Kirk Badii has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and Cantella & Co., 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 Independent Financial Group, LLC Due To Kirk Badii If you have questions about Independent Financial Group, LLC, Cantella & Co., Inc. and/or Kirk Badii 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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Mar 14, 2023

Kathleen Entwistle of Morgan Stanley

DID KATHLEEN MCNICHOLAS ENTWISTLE CAUSE YOU INVESTMENT LOSSES? Kathleen Entwistle Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Kathleen Entwistle Customer Complaints Kathleen Entwistle has been the subject of 2 customer complaints that we know about to recover investment losses. The 2 customer complaints are pending further arbitration proceedings. Allegations Against Kathleen Entwistle A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kathleen Entwistle Red Flags & Your Rights As An Investor Of course, Kathleen Entwistle 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 Kathleen Entwistle at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kathleen Entwistle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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 Morgan Stanley Due To Kathleen Entwistle If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Kathleen Entwistle 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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Mar 11, 2023

Juan E. Goytia of UBS Financial Services Inc.

DID JUAN E. GOYTIA CAUSE YOU INVESTMENT LOSSES? Juan E. Goytia Formerly With UBS Financial Services Inc. Has 88 Customer Complaints For Alleged Broker Misconduct Juan E. Goytia Customer Complaints Juan E. Goytia has been the subject of 88 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an award in favor of the investor in excess of $4.2 million. Eighty-three of the other customer complaints were settled by UBS Financial Services in favor of the investors. Only two of the customer complaints were denied and the customers did not take any further action. Allegations Against Juan E. Goytia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Juan E. Goytia Red Flags & Your Rights As An Investor Of course, Juan E. Goytia 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 Juan E. Goytia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Juan E. Goytia 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 Juan E. Goytia If you have questions about UBS Financial Services Inc. and/or Juan E. Goytia 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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Mar 9, 2023

Joseph Whitney formerly with Wedbush Securities Inc

DID JOSEPH WHITNEY CAUSE YOU INVESTMENT LOSSES? Joseph Whitney Formerly With Wedbush Securities Inc. and UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Joseph Whitney Customer Complaint Joseph Whitney has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for fraud and breach of fiduciary duty by a financial advisor requesting the customer to invest in a project with his wife. The customer complaint is pending. Joseph Whitney Red Flags & Your Rights As An Investor Of course, Joseph Whitney 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 Joseph Whitney at Wedbush Securities Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Whitney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities Inc. and 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 Wedbush Securities Inc. Due To Joseph Whitney If you have questions about Wedbush Securities Inc., UBS Financial Services Inc. and/or Joseph Whitney 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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Mar 4, 2023

Jose Cornide, Jr. formerly with UBS Financial Services Inc.

DID JOSE MANUEL CORNIDE, JR CAUSE YOU INVESTMENT LOSSES? Jose Cornide, Jr. Formerly With UBS Financial Services Inc. Has 13 Customer Complaints For Alleged Broker Misconduct Jose Cornide, Jr.  Customer Complaints Jose Cornide, Jr. has been the subject of 13 customer complaints that we know about to recover investment losses. Ten of the customer complaints were settled by UBS Financial Services in favor of the investors. The other 3 customer complaints were denied and to date, the customers have not taken any further action. Allegations Against Jose Cornide, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jose Cornide, Jr.  Red Flags & Your Rights As An Investor Of course, Jose Cornide, Jr. 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 Jose Cornide, Jr. at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Cornide, Jr. 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 Jose Cornide, Jr. If you have questions about UBS Financial Services Inc. and/or Jose Cornide, Jr. and and/or Jose Acosta Jordan 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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Mar 4, 2023

Jose Ramirez, Jr. formerly with UBS Financial Services Inc.

DID JOSE GABRIEL RAMIREZ JR CAUSE YOU INVESTMENT LOSSES? Jose Ramirez, Jr. Formerly With UBS Financial Services Inc. Has 85 Customer Complaints For Alleged Broker Misconduct Jose Ramirez, Jr.  Customer Complaints Jose Ramirez, Jr. has been the subject of 85 customer complaints that we know about to recover investment losses. There were 4 customer complaints that went through arbitration and resulted in an arbitration award in favor of the investors in the amounts of over $2.5 million, $3.1 million, $368,000, and $2.1 million. The rest of the customer complaints were settled by UBS financial services, Inc. in favor of the investors. Allegations Against Jose Ramirez, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jose Ramirez, Jr. Red Flags & Your Rights As An Investor Of course, Jose Ramirez, Jr. 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 Jose Ramirez, Jr. at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Ramirez, Jr. 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 Jose Ramirez, Jr. If you have questions about UBS Financial Services Inc. and/or Jose Ramirez, Jr. 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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Mar 4, 2023

Jose Garcia-Talavera formerly with UBS Financial Services Inc.

DID JOSE G. GARCIA-TALAVERA CAUSE YOU INVESTMENT LOSSES? Jose Garcia-Talavera Formerly With UBS Financial Services Inc. Has 49 Customer Complaints For Alleged Broker Misconduct Jose Garcia-Talavera Customer Complaints Jose Garcia-Talavera has been the subject of 49 customer complaints that we know about to recover investment losses. All 49 customer complaints were settled by UBS Financial Services in favor of the investors. Allegations Against Jose Garcia-Talavera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jose Garcia-Talavera Red Flags & Your Rights As An Investor Of course, Jose Garcia-Talavera 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 Jose Garcia-Talavera at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Garcia-Talavera 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 Jose Garcia-Talavera If you have questions about UBS Financial Services Inc. and/or Jose Garcia-Talavera 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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