UBS Financial Services Complaints - Law Offices of Robert Wayne Pearce

May 8, 2024

Ernie Kloock of UBS Financial Services Inc

DID ERNIE WALTER KLOOCK CAUSE YOU INVESTMENT LOSSES? Ernie Kloock Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Ernie Kloock Customer Complaints Ernie Kloock has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by a Bank of America Investment Services, and Marilyn Lynch, Pierce Fenner and Smith in favor of the investors. Another customer complaint was recently filed as a FINRA arbitration proceeding against UBS Financial Services for the advisors alleged misconduct and still pending. Allegations Against Ernie Kloock A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ernie Kloock Red Flags & Your Rights As An Investor Of course, Ernie Kloock 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 Ernie Kloock at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernie Kloock 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 Ernie Kloock If you have questions about UBS Financial Services Inc. and/or Ernie Kloock 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.

May 6, 2024

Ernie Kloock of UBS Financial Services Inc

DID ERNIE WALTER KLOOCK CAUSE YOU INVESTMENT LOSSES? Ernie Kloock Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Ernie Kloock Customer Complaints Ernie Kloock has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by a Bank of America Investment Services, and Marilyn Lynch, Pierce Fenner and Smith in favor of the investors. Another customer complaint was recently filed as a FINRA arbitration proceeding against UBS Financial Services for the advisors alleged misconduct and still pending. Allegations Against Ernie Kloock A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ernie Kloock Red Flags & Your Rights As An Investor Of course, Ernie Kloock 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 Ernie Kloock at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernie Kloock 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 Ernie Kloock If you have questions about UBS Financial Services Inc. and/or Ernie Kloock 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.

Apr 8, 2024

John Sofranko, III of UBS Financial Services Inc

DID JOHN F SOFRANKO III CAUSE YOU INVESTMENT LOSSES? John Sofranko, III Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct John Sofranko, III Customer Complaint John Sofranko, III has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that John Sofranko made an improper hold recommendation, in response to the customer’s request for liquidation of his portfolio to pay down his margin line. The FINRA arbitration proceeding was recently filed against UBS Financial Services for the advisors at Legend misconduct and is still pending. John Sofranko, III Red Flags & Your Rights As An Investor Of course, John Sofranko, III 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 Sofranko, III at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Sofranko, III 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 John Sofranko, III If you have questions about UBS Financial Services Inc. and/or John Sofranko, III 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.

Apr 7, 2024

James Schwarz of UBS Financial Services Inc

DID JAMES ARTHUR SCHWARZ CAUSE YOU INVESTMENT LOSSES? James Schwarz Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct James Schwarz Customer Complaints James Schwarz has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints were settled by Citigroup Global Markets in favor of the investors for James Schwarz’s alleged misconduct. Another customer complaint was recently denied by UBS Financial Services and to date, investor has not taken any further action. Allegations Against James Schwarz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Schwarz Red Flags & Your Rights As An Investor Of course, James Schwarz 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 James Schwarz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether James Schwarz 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 James Schwarz If you have questions about UBS Financial Services Inc. and/or James Schwarz 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.

Apr 7, 2024

Barry Schwartz of UBS Financial Services Inc

DID BARRY ALLEN SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Barry Schwartz Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Barry Schwartz Customer Complaints Barry Schwartz has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Investment Management and Research in favor of the investor or Barry Schwartz’s alleged misconduct. The other customer complaints were recently filed as a FINRA arbitration proceeding against UBS Financial Services for the advisor’s alleged misconduct and is still pending. Allegations Against Barry Schwartz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Barry Schwartz Red Flags & Your Rights As An Investor Of course, Barry Schwartz 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 Barry Schwartz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Barry Schwartz 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 Barry Schwartz If you have questions about UBS Financial Services Inc. and/or Barry Schwartz 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.

Mar 30, 2024

Tucker Wadkins of UBS Financial Services Inc

DID TUCKER WADKINS CAUSE YOU INVESTMENT LOSSES? Tucker Wadkins Of UBS Financial Services Inc. And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated, Has A Customer Complaint For Alleged Broker Misconduct Tucker Wadkins Customer Complaint Tucker Wadkins has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to follow instructions in connection with the transfer of assets from a traditional IRA account to a SEP IRA account. The customer complaint was recently filed with UBS Financial Services and denied by the brokerage firm. Thus far, there is no indication that the customer has filed an arbitration proceeding or taken any other action. Tucker Wadkins Red Flags & Your Rights As An Investor Of course, Tucker Wadkins 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 Tucker Wadkins at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Tucker Wadkins 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Tucker Wadkins If you have questions about UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Tucker Wadkins 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.

Mar 23, 2024

Brian Mariash of UBS Financial Services Inc.

DID BRIAN JAMES MARIASH CAUSE YOU INVESTMENT LOSSES? Brian Mariash Of UBS Financial Services Inc. And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct Brian Mariash Customer Complaints Brian Mariash has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were settled by the advisor’s former employer’s in favor of the investors for his misconduct. There is currently one customer complaint which was recently filed with Merrill Lynch, Pierce, Fenner & Smith for Brian Mariash’s alleged misconduct that is awaiting the firm’s review and determination. Allegations Against Brian Mariash A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Brian Mariash Red Flags & Your Rights As An Investor Of course, Brian Mariash 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 Brian Mariash at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Brian Mariash 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Brian Mariash If you have questions about UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Brian Mariash 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.

Mar 19, 2024

Roberto Fortuno of UBS Financial Services Inc.

DID ROBERTO JOSE FORTUNO CAUSE YOU INVESTMENT LOSSES? Roberto Fortuno Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Roberto Fortuno Customer Complaint Roberto Fortuno has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were recommendation to invest in and hold Puerto Rico Closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risk of investing in and concentrating Puerto Rico investments were misrepresented. The FINRA arbitration proceeding was recently filed against UBS Financial Services for Roberto Fortuno’s alleged misconduct and is still pending. Roberto Fortuno Red Flags & Your Rights As An Investor Of course, Roberto Fortuno 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 Roberto Fortuno at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Roberto Fortuno 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 Roberto Fortuno If you have questions about UBS Financial Services Inc. and/or Roberto Fortuno 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.

Mar 8, 2024

Russell Rabito of UBS Financial Services Inc

DID RUSSELL ANTHONY RABITO CAUSE YOU INVESTMENT LOSSES? Russell Rabito Of UBS Financial Services Inc, Has 3 Customer Complaints For Alleged Broker Misconduct Russell Rabito Customer Complaints Russell Rabito has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customers in separate arbitration proceedings alleged misrepresentations in unsuitable investment recommendations by Russell Rabito to invest in and hold an option overlay strategy known as the UBS Yield Enhancement Strategy. One of the customer complaints was settled by UBS Financial Services in favor of the investors. The other two FINRA arbitration proceedings filed against UBS Financial Services for Russell Rabito’s alleged misconduct are still pending. Russell Rabito Red Flags & Your Rights As An Investor Of course, Russell Rabito 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 Russell Rabito at UBS Financial Services Inc on alert to review carefully the activity and performance of their accounts and question whether Russell Rabito 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 Russell Rabito If you have questions about UBS Financial Services Inc and/or Russell Rabito 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.

Mar 8, 2024

Stephen Rabinowitz of Fidelity Brokerage Services LLC

DID STEPHEN RABINOWITZ CAUSE YOU INVESTMENT LOSSES? Stephen Rabinowitz Of Fidelity Brokerage Services LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Stephen Rabinowitz Customer Complaint Stephen Rabinowitz has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the customer received incorrect information prior to agreeing to a managed account solution. Fidelity Brokerage Services recently denied the customer complaint, and it does not appear that the investor has filed any arbitration proceeding or taken any other action so far. Stephen Rabinowitz Red Flags & Your Rights As An Investor Of course, Stephen Rabinowitz 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 Stephen Rabinowitz at Fidelity Brokerage Services LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Rabinowitz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services 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 Fidelity Brokerage Services LLC Due To Stephen Rabinowitz Just because Fidelity Brokerage Services denied the customer complaint does not mean it does not have any merit. If you have questions about Fidelity Brokerage Services LLC, UBS Financial Services Inc. and/or Stephen Rabinowitz 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.