Adam Rosenthal: UBS Advisor Lands Investor Complaint

New York City financial advisor Adam Rosenthal (CRD# 2277291) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.

Mr. Rosenthal’s BrokerCheck report discloses one investor complaint. Filed in April 2026, it alleges that he “sent out wire transfers that were illegal and without [the customer’s] knowledge and authorization to his ex wife.” The pending complaint alleges unspecified damages.

For reference, the execution of unauthorized transactions may violate FINRA Rule 3260, which establishes specific conditions in which brokers like Mr. Rosenthal may conduct trading without first consulting their client. Unauthorized trading may also violate FINRA Rule 2010, which stipulates that brokers must “observe high standards of commercial honor and just and equitable principles of trade.” A third important rule investors should be aware of is FINRA Rule 2020, which states that no broker may “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who executed unauthorized trades may be held liable for damages and/or subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Adam Rosenthal holds 33 years of securities industry experience. Based in New York City, he has been registered as a broker and an investment advisor with UBS Financial Services since 2008. His past registrations include Lehman Brothers, Citicorp Securities, and MGSI Securities. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; and the National Commodity Futures Examination, or Series 3. He holds 30 state licenses. (Information current as of June 4, 2026.)

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