Jan 20, 2022

Giustino Destefano of Securities America, Inc.

DID GIUSTINO DESTEFANO CAUSE YOU INVESTMENT LOSSES? Giustino Destefano Formerly With Securities America, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Giustino Destefano formerly with Securities America, Inc.? Giustino Destefano (CRD #4926924) who was formerly registered with Securities America, Inc. and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Giustino Destefano was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Giustino Destefano has had his own regulatory problems. In March 2016, he was suspended for 3 months and fined $10,000 by FINRA for the allegedly exercising discretion in customer accounts and executing trades without written authorization.  Giustino Destefano Customer Complaints Giustino Destefano has been the subject of 8 customer complaints that we know about. Five of Giustino Destefano’s 8 customer complaints were settled in favor of investors. All of the customers’ complaints except two were settled in favor of the investors. Allegations Against Giustino Destefano A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges that Giustino Destefano invested Claimant’s funds in unsuitable and aggressive investments. Allegations include common law fraud, breach of contract, breach of fiduciary duty, violation of California Securities Act and elder abuse. Claimants allege Giustino Destefano engaged in discretionary trading and overconcentrated claimants’ accounts in unsuitable stocks. Additional allegations are negligence and breach of fiduciary duty. Claimants allege that Giustino Destefano implemented a speculative investment strategy in Claimant’s accounts that was not appropriate given their risk tolerance. Allegations include misrepresentations, unsuitability, unauthorized trading, overconcentration, fraud and violations of federal securities laws and FINRA rules. Client alleges Giustino Destefano effected unauthorized and unsuitable transactions. Customer alleges a substantial market loss of 50% by Giustino Destefano. Power of attorney for customer alleges excessive trading by Giustino Destefano. Power of attorney for customer alleges unsuitable investment recommendations by Giustino Destefano. The customer alleges unsuitable investment recommendations, misrepresentation, excessive trading and unauthorized trading by Giustino Destefano. Giustino Destefano Red Flags & Your Rights As An Investor Of course, Giustino Destefano 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 Giustino Destefano at Securities America, Inc. on alert to review carefully the activity and performance of their accounts and question whether Giustino Destefano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, 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. File A Claim To Recover Your Investment Losses At Securities America, Inc. Due To Giustino Destefano If you have questions about Securities America, Inc. and/or Giustino Destefano 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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Jan 20, 2022

Dervinder Singh of Equitable Advisors

DID DERVINDER SINGH CAUSE YOU INVESTMENT LOSSES? Dervinder Singh of Equitable Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Dervinder Singh of Equitable Advisors? Dervinder Singh (CRD #2146392) who is currently registered with Equitable Advisors and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Dervinder Singh Customer Complaints Dervinder Singh has been the subject of 3 customer complaints that we know about. One of Dervinder Singh’s 3 customer complaints was settled in favor of investors. Two of Dervinder Singh’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Dervinder Singh A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients allege Dervinder Singh did not accurately disclose the policy terms of two fixed life insurance products at the time of replacement from two incentive life insurance policies. Clients allege the sale of a variable life insurance policy by Dervinder Singh was not a suitable investment. The client is requesting the firm to rescind the policy and refund premiums paid. Damages unspecified. Plaintiff alleges she did not receive the $100,000 death benefit on her husband’s variable life insurance policy because Dervinder Singh did not reveal or disclose the plaintiff’s medical history on the policy application. Plaintiff further alleges the agent made these misrepresentations in order for the policy to get issued at a premium level and generate a sales commission. Damages are unspecified. The allegations were unsubstantiated and without admitting fault or liability on the part of all parties, this matter was settled. Dervinder Singh Red Flags & Your Rights as An Investor Of course, Dervinder Singh 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 that should put all current and former customers of Dervinder Singh at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Dervinder Singh has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable Advisors 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. File A Claim to Recover Your Investment Losses at Equitable Advisors Due to Dervinder Singh If you have questions about Equitable Advisors and/or Dervinder Singh 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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Jan 20, 2022

Richard Bernstein of Wells Fargo Clearing Services, LLC

DID RICHARD JAY BERNSTEIN CAUSE YOU INVESTMENT LOSSES? Richard Jay Bernstein with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is Richard J. Bernstein with Wells Fargo Clearing Services, LLC? Richard Bernstein (CRD #1113777) who is currently registered with Wells Fargo Clearing Services, LLC and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Richard Bernstein was associated with Morgan Stanley and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo And Morgan Stanley Broker Misconduct In his career, Richard Bernstein has been the subject of 8 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Two of those customer cases proceeded through an arbitration and an award was entered in their favor. Four of Richard Bernstein’s 8 customer complaints were settled by Wells Fargo, Morgan Stanley, and UBS Financial Services, Inc. in favor of investors. The 2 other customer complaints were denied by his former employer UBS Financial Services, Inc. and the customer took no further action. Allegations Against Richard Bernstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investments and unauthorized trading in breach of Richard Bernstein’s fiduciary duties which resulted in an arbitration award in the investor’s favor. Customer alleged and proved excessive and unauthorized trading in an arbitration hearing and received an award for his damages. Claimant alleged unsuitable investment recommendations. Claimant alleged that Richard Bernstein made unauthorized transactions which conflicted with his stated, investment goals. Customer complaints related to the sale of auction rate securities. Client alleged that the financial advisor purchase a higher risk mutual fund without his permission. Client alleged unsuitable investment recommendations and overconcentration in the financial sector despite instructions to avoid market risk and to preserve capital. Richard Bernstein Red Flags & Your Rights As An Investor Of course, Richard Bernstein 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 Richard Bernstein at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Bernstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley and/or Richard Bernstein 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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Jan 20, 2022

William Shreve of UBS Financial Services Inc.

DID WILLIAM BURTON SHREVE CAUSE YOU INVESTMENT LOSSES? William Burton Shreve with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is William B. Shreve with UBS Financial Services Inc.? William Shreve (CRD #852878) who is currently registered with UBS Financial Services Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., William Shreve was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, William Shreve has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of William Shreve’s customer complaints resulted in an arbitration award against him and his employer. Two of William Shreve’s for customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against William Shreve’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against William Shreve A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unauthorized transactions, securities fraud, and common law fraud related to options trading in an arbitration proceeding that resulted in an arbitration award in the investor’s favor. Claimant alleged failure to liquidate securities as instructed. Claimant alleged William Shreve made misrepresentations and unsuitable investment recommendations related to an investment in an options overlay strategy known as the UBS Yield Enhancement Strategy. William Shreve Red Flags & Your Rights As An Investor Of course, William Shreve 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 William Shreve at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Shreve has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about the UBS Yield Enhancement Strategy also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or William Shreve 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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Jan 20, 2022

Chad Allen of Oppenheimer & Co. Inc.

DID CHAD EDWARD ALLEN CAUSE YOU INVESTMENT LOSSES? Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Chad E. Allen with Oppenheimer & Co. Inc.? Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Chad Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading. Customers alleged that Chad Allen engaged in trading activity without their approval. Chad Allen Red Flags & Your Rights As An Investor Of course, Chad Allen 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 Chad Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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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Jan 20, 2022

Cary Moskowitz of UBS Financial Services Inc.

DID CARY ALAN MOSKOWITZ CAUSE YOU INVESTMENT LOSSES? Cary Alan Moskowitz with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Cary A. Moskowitz with UBS Financial Services Inc.? Cary Moskowitz (CRD #1287997) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Cary Moskowitz was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Cary Moskowitz has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Cary Moskowitz’s 3 customer complaints was settled in favor of investors. Another one of Cary Moscowitz’s customer complaints alleging damages of $14 million was recently denied and his customer has not yet filed the arbitration claim. Allegations Against Cary Moskowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Cary Moscowitz wrote extremely speculative, high risk, uncovered naked options in direct contravention to the client’s risk tolerance and investment objectives. Further, that the financial advisor failed to explain the risks associated with the unsuitable naked option transactions which allegedly caused $14 million in damages. Client alleged that Cary Moscowitz made unsuitable investment recommendations, misrepresentations and provided misleading information regarding investments in mutual funds. Customer alleged misrepresentations were made regarding her investment in the closed-end mutual fund. Cary Moskowitz Red Flags & Your Rights As An Investor Of course, Cary Moskowitz 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 Cary Moskowitz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cary Moskowitz has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at UBS Financial Services Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or Cary Moskowitz 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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Jan 20, 2022

Donald Dever of UBS Financial Services Inc.

DID DONALD J. DEVER CAUSE YOU INVESTMENT LOSSES? Donald J. Dever with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Donald J. Dever with UBS Financial Services Inc.? Donald Dever (CRD #5317492) who is currently registered with UBS Financial Services Inc. and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Donald Dever was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Donald Dever has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Donald Dever’s customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Donald Dever’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Donald Dever A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that transactions were executed in his account without his authority. Claimant alleged that Donald Dever made misrepresentations and unsuitable recommendations with respect to an options overlay strategy known as the UBS-YES strategy. Donald Dever Red Flags & Your Rights As An Investor Of course, Donald Dever 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 Donald Dever at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Donald Dever has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about Donald Dever in such a short period also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.   If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Donald Dever 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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Jan 20, 2022

Eladio Santiago of Cambridge Investment Research, Inc

DID ELADIO ARTURO SANTIAGO CAUSE YOU INVESTMENT LOSSES? Eladio Arturo Santiago Of Cambridge Investment Research, Inc. And Formerly UBS Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Eladio A. Santiago with Cambridge Investment Research, Inc.? Eladio Santiago (CRD #3060628) who is currently registered with Cambridge Investment Research, Inc. and located in Fulton, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Eladio Santiago was associated with UBS Financial Services Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Eladio Santiago has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Eladio Santiago’s 3 customer complaints were settled by UBS Financial Services, Inc. in favor of investors. Allegations Against Eladio Santiago   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged unsuitable transactions in their accounts. Two claimants and separate arbitration proceedings alleged unsuitable investment recommendations and mismanagement of their accounts. Eladio Santiago Red Flags & Your Rights as An Investor Of course, Eladio Santiago 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 that should put all current and former customers of Eladio Santiagoat Cambridge Investment Research, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Eladio Santiagohas 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 supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cambridge Investment Research, Inc.  And UBS Financial Services, Inc. If you have questions about Cambridge Investment Research, Inc., UBS Financial Services Inc., and/or Eladio Santiago 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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Jan 20, 2022

John Torres of J.P. Morgan Securities LLC

DID JOHN LUIS TORRES CAUSE YOU INVESTMENT LOSSES? John Luis Torres formerly with J.P. Morgan Securities LLC Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John L. Torres formerly with J.P. Morgan Securities LLC? John Torres (CRD #6322231) who was formerly registered with J.P. Morgan Securities LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. He was terminated by J.P. Morgan Chase Bank, NA where he worked as a representative. John Torres is no longer permitted to serve as a securities broker. In April 2019, he was permanently barred by FINRA from association with any member firm in any capacity for failure to cooperate in an investigation FINRA was conducting into allegations of John Torres aiding and abetting a misappropriation by 3rd parties. J.P. Morgan Securities LLC Broker Misconduct In his career, John Torres has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. The 4 customer complaints filed against John Torres’ former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct are all pending. Allegations Against John Torres A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Third-party (non-customer) alleges misrepresentations and aiding and abetting of the theft of its funds entrusted to a customer of J.P. Morgan Chase. Customers alleged that that they were solicited by 3rd parties to make an investment in that John Torres improperly opened a bank account in the name of the third-party business and to which the customer’s funds were deposited in that the customer funds were subsequently misappropriated by the 3rd parties who solicited the investment. John Torres Red Flags & Your Rights As An Investor Of course, John Torres 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 John Torres at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether John Torres has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC and/or John Torres 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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Jan 20, 2022

Mark Zeller of UBS Financial Services Inc.

DID MARK ALLEN ZELLER CAUSE YOU INVESTMENT LOSSES? Mark Allen Zeller Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Mark A. Zeller with UBS Financial Services Inc.? Mark Zeller (CRD #2263684) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Mark Zeller was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Mark Zeller has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of those customer complaints resulted in arbitration proceeding in an arbitration award in favor of the investor. Another one of Mark Zeller’s 3 customer complaints was settled in favor of the investor. There is currently one pending customer complaint filed against Mark Zeller’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Zeller A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Mark Zeller was the subject of a customer’s complaint against his current employer UBS Financial Services, Inc. relating to claimant’s investment in the UBS Yield Enhancement Strategy (“UBS-YES”) strategy. The customer alleged constructive fraud, negligent misrepresentation, breach of fiduciary duty, unsuitable investment recommendations, and breach of contract. The arbitrators agreed to made an award in the customer’s favor. Claimant alleged sales practice violations by Mark Zeller in connection with the offer and sale of Lehman structured notes. Claimants alleged unsuitable investment recommendations and misrepresentations related to the UBS-YES option overlay strategy. Mark Zeller Red Flags & Your Rights As An Investor Of course, Mark Zeller 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 Zeller at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Zeller 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 its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or Mark Zeller 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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