Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...Read More
Andrew Perry: Short Hills Broker Receives Options Complaints
According to records maintained by the Financial Industry Regulatory Authority, UBS Financial Services broker Andrew Perry (CRD# 1726938) has received customer complaints concerning allegations connected to an options strategy offered by the firm. The complaints against Perry, who is registered with the firm’s offices in Short Hills, New Jersey and New York, New York, seek more than $1.5 million in damages.
A March 2019 complaint against Andrew Perry alleges that as a representative of UBS Financial Services, he unsuitably recommended and misrepresented an investment in an options overlay strategy offered by the firm. The complaint alleges damages of $650,000.
Another complaint, filed in February 2019, alleges the same misconduct by Perry, while he was registered with UBS Financial Services between March 2017 and the present. This complaint seems $1 million in damages. Both complaints regarding the options strategy remain pending.
Andrew Perry has been registered as a broker with UBS Financial Services in New York, New York; Short Hills, New Jersey; and Margate, New Jersey since 2008. His previous registrations include Deutsch Bank Securities in New York, New York, where he was registered from 2002 until 2008; Merrill Lynch in Florham Park, New Jersey, where he was registered from 1999 until 2002; Merrill Lynch in New York, New York, where he was registered from 1999 until 2002; Lehman Brothers in New York, New York, where he was registered from 1995-1998; Salomon Brothers Municipals, where he was registered from 1992 until 1995; Salomon Brothers in New York, New York, where he was registered from 1991-1995; Prudential Securities in New York, New York, where he was registered from 1989-1991; and Thomson McKinnon Securities, where he was registered from 1987 until 1988. He has passed five securities industry examinations, including the National Commodity Futures Examination and the Uniform Securities Agent State Law Examination, and his BrokerCheck report lists 41 states securities licenses, including: Alabama, Arizona, Arkansas, Delaware, Florida, Louisiana, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Tennessee, Texas, Utah, and Virginia. (Information current as of July 12, 2020.)