Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...
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John Loughran: NYC Adviser Has Pending Options Overlay Complaint
According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser John Loughran (CRD# 1884834) has received a pending customer complaint alleging the firm recommended an unsuitable options strategy. Loughran is registered with the firm’s office in New York City. FINRA’s records show that the complaint was filed in August… Read More »
UBS Advisor John DeRosa: Investor Alleges Unsuitable Strategy
New York-based broker John DeRosa (CRD# 1405104) has received a customer complaint alleging he was connected to an options overlay strategy investment that was unsuitable for the customer and misrepresented by his firm, UBS Financial Services. The pending complaint alleges damages of $750,000. According to Financial Industry Regulatory Authority (FINRA) records, the complaint was… Read More »
Nancy Matta: Pending Options Complaint Against UBS Advisor
Nancy Matta (CRD# 713774), a broker and investment adviser based in New York City, has received a pending complaint alleging misconduct connected to an options investment. Records maintained by the Financial Industry Regulatory Authority (FINRA) records indicate that the complaint against the UBS Financial Services representative seeks $900,000 in damages. Filed in October 2019,… Read More »
UBS Broker Steven Chille Receives Investor Complaints
According to records maintained by the Financial Industry Regulatory Authority, Westport, Connecticut-based UBS Financial Services broker and investment adviser Steven Chille (CRD# 1335887) has received pending customer complaints alleging misconduct surrounding an options strategy offered by his firm. The three complaints allege cumulative damages of more than $1.7 million. One complaint listed on Steven… Read More »
Mark Zeller: $1.6 Million in Pending Complaints Against UBS Broker
Mark Zeller (CRD# 2263684), a New York City-based broker and investment adviser, has received pending customer complaints detailing allegations over an options investment strategy offered by his member firm, UBS Financial Services. Financial Industry Regulatory Authority (FINRA) records indicate that the complaints allege damages exceeding $1,500,000. One of the two pending complaints listed on… Read More »
Investor Complaints Against UBS Rep Christopher Tolman
Christopher Tolman (CRD# 2066775), a broker and investment adviser based in New York City, has received pending complaints alleging that an options overlay strategy investment offered by his firm, UBS Financial Services, was unsuitable. The complaints cumulatively allege more than $1.5 million in damages, according to records maintained by the Financial Industry Regulatory Authority… Read More »
Options Overlay Complaints Against UBS Rep Michael Sherman
Financial Industry Regulatory Authority (FINRA) records list several customer complaints connected to New York City-based UBS Financial Services broker and adviser Michael Sherman (CRD# 1031880). The complaints detail allegations concerning an options overlay strategy recommended by the firm, and cumulatively seek more than $2 million in damages. A complaint filed in October 2019 alleges… Read More »
Eric Wittenberg: Complaints Allege Unsuitable Options Strategy
Eric Wittenberg (CRD# 1552330), a broker and investment adviser based in New York City, has received two pending complaints detailing allegations connected to an options strategy investment. According to records maintained by the Financial Industry Regulatory Authority (FINRA) records, the complaints against the UBS Financial Services representative seek more than $1.5 million in damages…. Read More »
Options Overlay Complaints Against UBS Rep Adam Epstein
New York City-based broker and adviser Adam Epstein (CRD# 4043653) has received two pending customer complaints detailing allegations of misconduct connected to an options overlay strategy. The complaints against the UBS Financial Services representative seek at least $1.5 million in damages, per Financial Industry Regulatory Authority (FINRA) records. A March 2020 complaint alleges that… Read More »
Sonia Atkiss: Options Complaints Against UBS Broker
According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser Sonia Atkiss (CRD# 2936806) has received several pending customer complaints. The complaints against Atkiss, who is registered with UBS’s offices in New York City, cumulatively allege more than $9 million in damages. An April 2020 complaint alleges that Sonia… Read More »
