Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Recent Blog Posts

John Loughran: NYC Adviser Has Pending Options Overlay Complaint

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

UBS Advisor John DeRosa: Investor Alleges Unsuitable Strategy

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Nancy Matta: Pending Options Complaint Against UBS Advisor

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

UBS Broker Steven Chille Receives Investor Complaints

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Mark Zeller: $1.6 Million in Pending Complaints Against UBS Broker

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Investor Complaints Against UBS Rep Christopher Tolman

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Options Overlay Complaints Against UBS Rep Michael Sherman

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Eric Wittenberg: Complaints Allege Unsuitable Options Strategy

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Options Overlay Complaints Against UBS Rep Adam Epstein

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Sonia Atkiss: Options Complaints Against UBS Broker

By Chase Carlson |

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 »

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
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
  • Previous
  • Next