Daniel Mann (CRD# 4592568), a broker and financial advisor in Las Vegas, has received a pending investor complaint alleging his...Read More
Andrew Perry: Short Hills Rep’s Options Complaint Settled for $300K
According to records maintained by the Financial Industry Regulatory Authority, UBS Financial Services broker Andrew Perry (CRD# 1726938) has received investor complaints concerning allegations connected to an options strategy offered by the firm. One of the complaints against Perry, who is registered with the firm’s offices in Short Hills, New Jersey and New York, New York, reached a six-figure settlement.
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 pending complaint alleges damages of $650,000.
Another complaint, filed in February 2019, alleged the same misconduct by Perry, while he was registered with UBS Financial Services between March 2017 and the present. This complaint reached a settlement of $300,000. In a statement regarding the complaint included on his BrokerCheck report, he denied the allegations and said he was “comfortable that this customer was treated fairly, the account was handled properly, and, as always, I acted in the best interests of the client at all times.”
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 qualifying exams, 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 May 11, 2022.)
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