Jan 20, 2022

Nancy Glassman of Morgan Stanley

DID NANCY DAWN GLASSMAN CAUSE YOU INVESTMENT LOSSES? Nancy Dawn Glassman with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Nancy D. Glassman with Morgan Stanley? Nancy Glassman (CRD #1734992) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Nancy Glassman was associated with UBS Financial Services Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In her career, Nancy Glassman has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last years to recover investment losses. Three of Nancy Glassman’s for customer complaints were settled in favor of investors. Allegations Against Nancy Glassman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that unsuitable investments were made in a managed account. Claimants alleged that Nancy Glassman’s recommendation of Lehman structured notes were unsuitable investment recommendations and misrepresented. The client alleged that Nancy Glassman recommended two small-cap mutual funds that were unsuitable investment recommendations. Nancy Glassman Red Flags & Your Rights as An Investor Of course, Nancy Glassman 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 Nancy Glassman at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Nancy Glassman 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 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 Morgan Stanley If you have questions about Morgan Stanley, UBS Financial Services Inc., and/or Nancy Glassman 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.

Continue Reading

Jan 20, 2022

Ortal Shacar of UBS Financial Services Inc

DID ORTAL SHACAR CAUSE YOU INVESTMENT LOSSES? Ortal Shacar with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Ortal Shacar with UBS Financial Services Inc.? Ortal Shacar (CRD #2940760) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   UBS Financial Services Inc. is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Ortal Shacar 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.   Both customer complaints filed against Ortal Shacar’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against Ortal Shacar A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two claimants in separate arbitration proceedings have alleged that Ortal Shacar made unsuitable recommendations and misrepresentations in connection with their investments in the UBS Yield Enhancement Strategy. Ortal Shacar Red Flags & Your Rights as An Investor Of course, Ortal Shacar 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 Ortal Shacarat UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ortal Shacarhas engaged in any stockbroker misconduct that may have caused them investment losses. A 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 Ortal Shacarand 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.

Continue Reading

Jan 20, 2022

Simon Clarke of UBS Financial Services Inc

DID SIMON ALEXANDER CLARKE CAUSE YOU INVESTMENT LOSSES? Simon Alexander Clarke with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Simon A. Clarke with UBS Financial Services Inc.? Simon Clarke (CRD #4232824) who is currently registered with UBS Financial Services Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Prior to UBS Financial Services Inc., Simon Clarke was associated with Credit Suisse Securities (USA) LLC and 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, Simon Clarke has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both of the customer complaints filed against Simon Clarke’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct are still pending. Allegations Against Simon Clarke A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable investment recommendations and misrepresentations with respect to an investment in and to hold an option overlay strategy known as the UBS Yield Enhancement Strategy (“UBS-YES Strategy”). The claimant alleged unsuitable investment recommendations and misrepresentations in connection with the UBS-YES Strategy in a UBS Wrap fee account. Simon Clarke Red Flags & Your Rights as An Investor Of course, Simon Clarke 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 Simon Clarke 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 Simon Clarke has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about the UBS-YES 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., Credit Suisse Securities (USA) LLC, and/or Simon Clarke 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.

Continue Reading

Jan 20, 2022

Stephen Ferencik of Arkadios Capital

DID STEPHEN JOHN FERENCIK CAUSE YOU INVESTMENT LOSSES? Stephen John Ferencik with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Stephen J. Ferencik with Arkadios Capital? Stephen Ferencik (CRD #3126037) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Arkadios Capital, Stephen Ferencik was associated with Triad Advisors, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Stephen Ferencik has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Stephen Ferencik’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Stephen Ferencik’s current employer Arkadios Capital for investment losses caused by his alleged misconduct. Allegations Against Stephen Ferencik   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged excessive trading in her account. Claimants alleged unsuitable investment recommendations and unauthorized trading in stocks and products in their accounts. The claimant alleged that Stephen Ferencik recommended an unsuitable asset allocation and made unauthorized trades in his account. The client alleged that the financial advisor places various trades in his account without his consent or knowledge. The customer alleged that his investments were misrepresented to him. The client alleged that Stephen Ferencik engaged in excessive trading that was not beneficial or with his knowledge. Claimants and separate arbitration proceedings alleged that financial advisors made unsuitable recommendations to invest in structured notes. UBS Financial Services, Inc. discharged Stephen Ferencik for allegedly exercising discretion in the client’s account, in violation of firm policy, despite been previously reprimanded by the firm or similar misconduct. Stephen Ferencik Red Flags & Your Rights as An Investor Of course, Stephen Ferencik 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 Stephen Ferencik at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Ferencik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital If you have questions about Arkadios Capital, UBS Financial Services, Inc., and/or Stephen Ferencik 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.

Continue Reading

Jan 20, 2022

Todd Perry of UBS Financial Services Inc.

DID TODD M. MICHAEL PERRY CAUSE YOU INVESTMENT LOSSES? Todd M. Michael Perry with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Todd M. Perry with UBS Financial Services Inc.? Todd Perry (CRD #2939050) 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., Todd Perry was associated with 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, Todd Perry 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 Todd Perry’s customer complaints was settled in favor of investors for $500,000. There is currently one pending customer complaint filed against Todd Perry’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Todd Perry The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are that Todd Perry made unsuitable investment recommendations and misrepresentations to invest in and hold an option overlay strategy known as the UBS-YES Yield Enhancement Strategy. Todd Perry Red Flags & Your Rights as An Investor Of course, Todd Perry 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 Todd Perry at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Todd Perry 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–YES 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 Todd Perry 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.

Continue Reading

Jan 20, 2022

Nicholas Finn of UBS Financial Securities, Inc.

DID NICHOLAS BRINE FINN CAUSE YOU INVESTMENT LOSSES? Nicholas Brine Finn with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas B. Finn with UBS Financial Services Inc.? Nicholas Finn (CRD #2295090) 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., Nicholas Finn 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, Nicholas Finn has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of Nicholas Finn’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Nicholas Finn’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in recommending that clients invest in the UBS Yield Enhancement (UBS-YES) strategy.  Allegations Against Nicholas Finn The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Complainant pledges that he suffered losses as a result of unsuitable investment advice in connection with common and preferred stock transactions. Claimants allege on suitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Nicholas Finn Red Flags & Your Rights As An Investor Of course, Nicholas Finn 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 Nicholas Finn 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 Nicholas Finn 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 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 Nicholas Finn 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.

Continue Reading

Jan 20, 2022

Adam Epstein of UBS Financial Services INC

DID ADAM F. EPSTEIN CAUSE YOU INVESTMENT LOSSES? Adam F. Epstein with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Adam F. Epstein with UBS Financial Services Inc.? Adam Epstein (CRD #4043653) 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., Adam Epstein 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, Adam Epstein has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Adam Epstein’s 4 customer complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Adam Epstein’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Adam Epstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The former customer alleges that the financial advisor did not follow his instructions to liquidate positions in his accounts. The customer alleged that her instructions to liquidate her retirement accounts were not executed by Adam Epstein on a timely basis. Two customers and separate arbitration’s alleged that Adam Epstein misrepresented and recommended an unsuitable investment strategy known as the UBS Yield Enhancement Strategy, a.k.a. UBS-YES option overlay strategy in  UBS wrap fee accounts Adam Epstein Red Flags & Your Rights as An Investor Of course, Adam Epstein 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 Adam Epsteinat UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC alert to review carefully the activity and performance of their accounts and question whether Adam Epstein 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 Credit Suisse Securities (USA) 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Adam Epstein 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.

Continue Reading