Aug 10, 2023

Xavier Aguayo Diaz of UBS Financial Services Inc.

DID XAVIER A. AGUAYO DIAZ CAUSE YOU INVESTMENT LOSSES? Xavier Aguayo Diaz Of UBS Financial Services Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Xavier Aguayo Diaz Customer Complaints Xavier Aguayo Diaz has been the subject of 9 customer complaints that we know about to recover investment losses. Six of the customer complaints were settled by UBS Financial Services in favor of the investors. The other that 3 customer complaints were denied and, to date, no further action has been taken. Allegations Against Xavier Aguayo Diaz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses all relate to the offer and sale of Puerto Rico municipal bonds in Puerto Rico closed-end bond funds. The allegations are generally misrepresentations, unsuitable investment recommendations, overconcentration and excessive leverage. Xavier Aguayo Diaz Red Flags & Your Rights As An Investor Of course, Xavier Aguayo Diaz 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 Xavier Aguayo Diaz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Xavier Aguayo Diaz 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 Xavier Aguayo Diaz If you have questions about UBS Financial Services Inc. and/or Xavier Aguayo Diaz 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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Aug 9, 2023

William Huthnance of UBS Financial Services Inc.

DID WILLIAM WORD HUTHNANCE CAUSE YOU INVESTMENT LOSSES? William Huthnance Of UBS Financial Services Inc. Has 6 Customer Complaints For Alleged Broker Misconduct William Huthnance Customer Complaints William Huthnance has been the subject of 6 customer complaints that we know about to recover investment losses. Two of the customer’s disputes were settled by UBS Financial Services in favor the investors.  One customer complaint was denied and no further action was taken. There are still 3 pending FINRA arbitration proceedings against UBS Financial Services for the advisor’s alleged misconduct. Allegations Against William Huthnance A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Huthnance Red Flags & Your Rights As An Investor Of course, William Huthnance 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 Huthnance at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Huthnance 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 William Huthnance If you have questions about UBS Financial Services Inc. and/or William Huthnance 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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Jul 31, 2023

Walter Brady, Jr. of J.P. Morgan Securities LLC

DID WALTER DOUGLAS BRADY JR CAUSE YOU INVESTMENT LOSSES? Walter Brady, Jr. Of J.P. Morgan Securities LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Walter Brady, Jr.  Customer Complaint Walter Brady, Jr. has been the subject of at least one customer complaint that we know about recovering investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to liquidate an investment as instructed. The customer complaint was denied and, to date, the customer has not taken any further action. Walter Brady, Jr.  Red Flags & Your Rights As An Investor Of course, Walter Brady, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Walter Brady, Jr. at J.P. Morgan Securities LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Walter Brady, Jr. 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 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 J.P. Morgan Securities LLC Due To Walter Brady, Jr. If you have questions about J.P. Morgan Securities LLC, UBS Financial Services Inc. and/or Walter Brady, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jul 29, 2023

Victor Tomassini of UBS Financial Services Inc.

DID VICTOR MIGUEL TOMASSINI CAUSE YOU INVESTMENT LOSSES? Victor Tomassini Of UBS Financial Services Inc. Has 51 Customer Complaints For Alleged Broker Misconduct Victor Tomassini Customer Complaints Victor Tomassini has been the subject of 51 customer complaints that we know about to recover investment losses. Forty-eight of the customer complaints were settled. The other customer complaints were denied by UBS Financial Services, and no further action was taken. Allegations Against Victor Tomassini A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses arose out of the offer and sale of Puerto Rico municipal bonds and closed-end bond funds. The allegations were generally that the investments were unsuitable investment recommendations, overconcentrated in client’s accounts, and that the risk of the Puerto Rico investments were misrepresented. Victor Tomassini Red Flags & Your Rights As An Investor Of course, Victor Tomassini 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 Victor Tomassini at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Victor Tomassini 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 Victor Tomassini If you have questions about UBS Financial Services Inc. and/or Victor Tomassini 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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Jul 18, 2023

Thomas Swan of Western International Securities, Inc.

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Thomas Swan Customer Complaints Thomas Swan has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There are currently 2 arbitration proceedings pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Kieffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Swan Red Flags & Your Rights As An Investor Of course, Thomas Swan 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 Thomas Swan at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc. Due To Thomas Swan If you have questions about Western International Securities, Inc. and/or Thomas Swan 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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Jul 14, 2023

Steven Westerman of UBS Financial Services Inc.

DID STEVEN WESTERMAN CAUSE YOU INVESTMENT LOSSES? Steven Westerman Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Steven Westerman Customer Complaint Steven Westerman 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 follow customer’s instructions to liquidate customer’s account in a timely manner. UBS Financial Services settled the customer complaint in favor the investor. Steven Westerman Red Flags & Your Rights As An Investor Of course, Steven Westerman 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 Steven Westerman at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Westerman 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 Steven Westerman If you have questions about UBS Financial Services Inc. and/or Steven Westerman 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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Jul 6, 2023

Sonia Attkiss of UBS Financial Services Inc.

DID SONIA MARIA ATTKISS CAUSE YOU INVESTMENT LOSSES? Sonia Attkiss Of UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct Sonia Attkiss Customer Complaints Sonia Attkiss has been the subject of 14 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award against Sonia Attkiss’ employer UBS Financial Services. Four customer complaints were settled by UBS Financial Services in favor of the investors. The brokerage firm denied 6 other complaints and, to date, no further action has been taken by the customers. There are currently 3 arbitration proceedings pending against UBS financial Services for Sonia Attkiss’ alleged misconduct. Allegations Against Sonia Attkiss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses appear to all be related to an options overlay strategy known as UBS YES which was touted as a yield enhancement strategy. Sonia Attkiss Red Flags & Your Rights As An Investor Of course, Sonia Attkiss 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 Sonia Attkiss at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sonia Attkiss 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 Sonia Attkiss If you have questions about UBS Financial Services Inc. and/or Sonia Attkiss 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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Jul 5, 2023

Sherry Rowland of UBS Financial Services Inc.

DID SHERRY ROWLAND CAUSE YOU INVESTMENT LOSSES? Sherry Rowland Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Sherry Rowland Customer Complaint Sherry Rowland 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 follow client’s instructions with respect to transactions in account. UBS Financial Services settled the customer complaint in favor the investor. Sherry Rowland Red Flags & Your Rights As An Investor Of course, Sherry Rowland 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 Sherry Rowland at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sherry Rowland 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 Sherry Rowland If you have questions about Innovation UBS Financial Services Inc. and/or Sherry Rowland 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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Jun 29, 2023

Scott Merrill formerly with UBS Financial Services Inc.

DID SCOTT CARL MERRILL CAUSE YOU INVESTMENT LOSSES? Scott Merrill Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Scott Merrill Customer Complaint Scott Merrill 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 misrepresentations related to fees of the managed account. UBS Financial Services settled the customer complaint in favor of the investor. Scott Merrill Red Flags & Your Rights As An Investor Of course, Scott Merrill 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 Scott Merrill at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Merrill 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 Scott Merrill If you have questions about UBS Financial Services Inc. and/or Scott Merrill 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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Jun 28, 2023

Schuyler Grey, III of Morgan Stanley

DID SCHUYLER E GREY III CAUSE YOU INVESTMENT LOSSES? Schuyler Grey, III Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Schuyler Grey, III Customer Complaints Schuyler Grey, III has been the subject of 5 customer complaints that we know about to recover investment losses. Four customer complaints was settled by UBS Financial Securities in favor of the investors. Morgan Stanley denied the other customer complaint and the customer took no further action. Allegations Against Schuyler Grey, III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Schuyler Grey, III Red Flags & Your Rights As An Investor Of course, Schuyler Grey, 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 Schuyler Grey, III at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Schuyler Grey, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Schuyler Grey, III If you have questions about Morgan Stanley and/or Schuyler Grey, 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.

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