Apr 27, 2023

Michael Nichley of UBS Financial Services Inc

DID MICHAEL B NICHLEY CAUSE YOU INVESTMENT LOSSES? Michael Nichley Of UBS Financial Services Inc. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Michael Nichley Customer Complaint Michael Nichley 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 the option strategy in customer’s managed account was misrepresented as having a safety net that would prevent loss of the entire value. UBS Financial Services denied the customer complaint and, to date, no action has been taken by the customer against the firm or broker. Michael Nichley Red Flags & Your Rights As An Investor Of course, Michael Nichley 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 Michael Nichley at UBS Financial Services Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Nichley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Morgan Stanley 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 Michael Nichley If you have questions about UBS Financial Services Inc., Morgan Stanley and/or Michael Nichley 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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Apr 23, 2023

Matthew Buchsbaum of UBS Financial Services Inc.

DID MATTHEW STERN BUCHSBAUM CAUSE YOU INVESTMENT LOSSES? Matthew Buchsbaum Of UBS Financial Services Inc. Has 32 Customer Complaints For Alleged Broker Misconduct Matthew Buchsbaum Customer Complaints Matthew Buchsbaum has been the subject of 32 customer complaints that we know about to recover investment losses in connection with the financial advisors Yield Enhancement Investment Strategy. Twenty-four of the customer complaints are final. There are 5 pending arbitration proceedings. Three of the customer complaints proceeded to arbitration and resulted in arbitration awards against UBS Financial Services for Matthew Buchbaum’s alleged misconduct in excess of $1.8 million, $5 million, and $848,000. Twelve of the customer complaints were settled by UBS Financial Services in favor of the investors. Nine customer complaints were recently denied by the same brokerage firm and, to date, it’s unclear whether any action has been filed. Allegations Against Matthew Buchsbaum A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Matthew Buchsbaum Red Flags & Your Rights As An Investor Of course, Matthew Buchsbaum 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 Matthew Buchsbaum at UBS Financial Services Inc .on alert to review carefully the activity and performance of their accounts and question whether Matthew Buchsbaum 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 Matthew Buchsbaum If you have questions about UBS Financial Services Inc. and/or Matthew Buchsbaum 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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Apr 18, 2023

Marvin Vick formerly with Commonwealth Financial Network

DID MARVIN GILBERT VICK, JR. CAUSE YOU INVESTMENT LOSSES? Marvin Vick Formerly With Commonwealth Financial Network and Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Marvin Vick Customer Complaints Marvin Vick has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Ameriprise Financial Services in favor of the investor and the brokerage firm denied the other customer complaint. To date, the customer has not taken any further action. Allegations Against Marvin Vick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Marvin Vick Red Flags & Your Rights As An Investor Of course, Marvin Vick 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 Marvin Vick at Commonwealth Financial Network and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Marvin Vick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network and Ameriprise 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 Commonwealth Financial Network Due To Marvin Vick If you have questions about Commonwealth Financial Network, Ameriprise Financial Services, Inc. and/or Marvin Vick 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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Apr 17, 2023

Marshall Hagen formerly with UBS Financial Services Inc.

DID MARSHALL CHARLES HAGEN CAUSE YOU INVESTMENT LOSSES? Marshall Hagen Formerly With UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Marshall Hagen Customer Complaints Marshall Hagen has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by UBS Financial Services and Citigroup Global Markets in favor of the investors. UBS Financial Services denied one complaint and the customer took no further action. Allegations Against Marshall Hagen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Marshall Hagen Red Flags & Your Rights As An Investor Of course, Marshall Hagen 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 Marshall Hagen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Marshall Hagen 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 Marshall Hagen If you have questions about Investors UBS Financial Services Inc. and/or Marshall Hagen 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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Apr 11, 2023

Mark Burns of LPL Financial LLC

DID MARK CAREY BURNS CAUSE YOU INVESTMENT LOSSES? Mark Burns Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Mark Burns Customer Complaint Mark Burns 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 unsuitable investment recommendations and misrepresentations of the investments including an adjustable life insurance policy. LPL Financial and UBS Financial Services settled the customer complaint for double the amount demanded in the initial claim. Mark Burns Red Flags & Your Rights As An Investor Of course, Mark Burns 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 Mark Burns at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Burns has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC 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 LPL Financial LLC Due To Mark Burns If you have questions about LPL Financial LLC and/or Mark Burns 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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Apr 11, 2023

Mark Redden of UBS Financial Services Inc.

DID MARK ANDREW REDDEN CAUSE YOU INVESTMENT LOSSES? Mark Redden Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Mark Redden Customer Complaints Mark Redden has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by UBS Financial Services and/or his former employer. The other customer complaint was denied by Smith Barney and no further action was taken. Allegations Against Mark Redden A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Redden Red Flags & Your Rights As An Investor Of course, Mark Redden 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 Mark Redden at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Redden 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 Mark Redden If you have questions about UBS Financial Services Inc. and/or Mark Redden 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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Apr 7, 2023

Marc Ridell of UBS Financial Services Inc.

DID MARC EVAN RIDELL CAUSE YOU INVESTMENT LOSSES? Marc Ridell Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Marc Ridell Customer Complaint Marc Ridell 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 unsuitable investment recommendations to invest in and hold and options overlay strategy known as the “Yield Enhancement Strategy.” UBS Financial Services denied the customer complaint and the customer proceeded to arbitration. The investor did not receive any arbitration award in his favor. Marc Ridell Red Flags & Your Rights As An Investor Of course, Marc Ridell 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 Marc Ridell at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Marc Ridell 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 Marc Ridell If you have questions about UBS Financial Services Inc. and/or Marc Ridell 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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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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