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UBS Adviser Alex Williams: Investor Alleges Unsuitable Options Investment

By Chase Carlson |

Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According to Financial Industry Regulatory Authority (FINRA) records, the complaint concerns an options strategy investment offered by his firm, UBS Financial Services, and seeks damages of more than $500,000. The pending complaint listed on Alex… Read More »

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$600K Options Complaint Against Los Angeles Broker Bill Calvert

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records indicate that UBS Financial Services broker Bill Calvert (CRD# 1023796) has received a pending customer complaint regarding an allegedly unsuitable investment in an options overlay strategy. Calvert is based in Los Angeles, California, where he is also registered as an investment adviser The pending complaint against Bill Calvert… Read More »

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UBS’ Timothy Croak: Unsuitable Options Strategy Allegations

By Chase Carlson |

Timothy Croak (CRD# 840899), a New York City-based broker and investment adviser, has received a pending customer complaint, according to Financial Industry Regulatory Authority (FINRA) records. The complaint against the UBS Financial Services representative alleges misconduct surrounding an options investment strategy. The pending complaint listed in Timothy Croak’s FINRA records was filed in April… Read More »

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Wendy Holmes: UBS Adviser Has $1.4M in Pending Options Overlay Complaints

By Chase Carlson |

Wendy Holmes (CRD# 2944190), a broker and investment adviser registered with UBS Financial Services, has received two pending customer complaints detailing allegations connected to an options investment. According to digital records kept by the Financial Industry Regulatory Authority (FINRA), a securities industry oversight body, the complaints against the New York-based representative seek more than… Read More »

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UBS Adviser Peter Rukeyser: Investor Alleges Unsuitable Options Strategy

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records for New York City-based broker and investment adviser Peter Rukeyser (CRD# 2500523) show that he has received a pending customer complaint detailing allegations regarding an options strategy. The complaint connected to the UBS Financial Services representative alleges damages of $725,000. The complaint listed on Rukeyser’s profile was filed… Read More »

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Pending Investor Complaint Against UBS Advisor Lance Cholet

By Chase Carlson |

According to digital records maintained by the Financial Industry Regulatory Authority (FINRA), New York-based broker and investment adviser Lance Cholet (CRD# 3239588) has received a pending customer complaint. Cholet is a representative of UBS Financial Services, where he has been registered since 2006. The complaint concerns an options product offered by the firm. The… Read More »

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C. Steven Teixeira: Pending Options Complaints Against UBS Adviser

By Chase Carlson |

C. Steven Teixeira (CRD# 2390851), a New York City-based broker and investment adviser, has received two pending customer complaints alleging misconduct connected to an options investment offered by his member firm, UBS Financial Services. Records maintained by the Financial Industry Regulatory Authority (FINRA) reveal that the complaints allege damages of more than $1.5 million…. Read More »

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UBS Adviser Thomas Livaccari: Pending Options Overlay Complaint

By Chase Carlson |

New York-based broker and investment adviser Thomas Livaccari’s FINRA records describe a pending customer complaint detailing allegations about an options overlay strategy. Livaccari is a representative of UBS Financial Services, where he has been registered since 2009. The complaint against Thomas Livaccari was filed in October 2019. It details allegations regarding recommendations to invest… Read More »

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Monty Cerf: Pending Complaints Against NYC Advisor Seek Millions

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records indicate that UBS Financial Services broker Monty Cerf (CRD# 2269462) has received several pending customer complaints concerning an allegedly unsuitable options strategy. Cerf is registered with the firm’s office in New York, New York, and is also registered as an investment adviser. The complaints listed on his BrokerCheck… Read More »

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Robert Perlman: Pending Options Complaint Against UBS Broker/Adviser

By Chase Carlson |

Robert Perlman (CRD# 1892131), a broker and investment adviser based in New York City, has received a pending customer complaint connected to an options strategy offered by his member firm, UBS Financial Services. Records maintained by the Financial Industry Regulatory Authority (FINRA) indicate that the complaint alleges damages of $750,000. The pending complaint against… Read More »

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Latest Blog Posts
  • UBS Adviser Alex Williams: Investor Alleges Unsuitable Options Investment

    Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...

    Read More
  • $600K Options Complaint Against Los Angeles Broker Bill Calvert

    Financial Industry Regulatory Authority (FINRA) records indicate that UBS Financial Services broker Bill Calvert (CRD# 1023796) has received a pending...

    Read More
  • UBS’ Timothy Croak: Unsuitable Options Strategy Allegations

    Timothy Croak (CRD# 840899), a New York City-based broker and investment adviser, has received a pending customer complaint, according to...

    Read More
  • Wendy Holmes: UBS Adviser Has $1.4M in Pending Options Overlay Complaints

    Wendy Holmes (CRD# 2944190), a broker and investment adviser registered with UBS Financial Services, has received two pending customer complaints...

    Read More
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