Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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UBS Rep Scott Rosenberg: Multiple Options Overlay Complaints
Scott Rosenberg (CRD# 2754292), a broker and investment adviser based in New York, New York, has received more than a dozen investor complaints, according to records maintained by the Financial Industry Regulatory Authority. While many of the complaints concerning UBS’s Yield Enhancement Strategy are pending, one recently settled for more than $1 million in… Read More »
Matthew Buchsbaum: Multiple Options Complaints Against UBS Rep
New York City and Stamford-based UBS Financial Services representative Matthew Buchsbaum (CRD# 2220565) has received numerous customer complaints alleging he made misrepresentations and unsuitable recommendations connected to an options overlay strategy offered by the firm. The complaints cumulatively allege more than $1.2 billion in damages, according to publicly available records maintained by the Financial… Read More »
Gerard Costello: Options Strategy Complaints Against NYC Broker
Gerard Costello (CRD# 1551511), a broker and investment adviser registered with UBS Financial Services, has received several pending complaints involving recommendations that customers invest in an options overlay strategy offered by UBS. A representative of the firm’s office in New York, New York, the pending complaints allege more than $1 billion in damages.
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,… Read More »
Complaints Against Eric Wittenberg Allege Unsuitable Options Strategy
Eric Wittenberg (CRD# 1552330), a broker and investment adviser based in New York City, has received three 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 million in damages.
Investor Alleges UBS Advisor Mark Sullivan Misrepresented Options
New York City broker and investment adviser Mark Sullivan (CRD# 2531982) allegedly engaged in misconduct surrounding an investment in an options strategy, according to a pending customer complaint against him. The UBS Financial Services representative has responded that the strategy’s “risks were clearly explained,” according to Financial Industry Regulatory Authority (FINRA) records.
Cetera’s Howard Hsieh: REIT Complaint Settled for 6 Figures
Irvine, California stockbroker Howard Hsieh (CRD# 4947882) has received settled or pending investor complaints alleging he misrepresented and recommended unsuitable investments. According to Financial Industry Regulatory Authority records, he is presently a broker and investment adviser registered with Cetera Investment Services.
Options Overlay Complaints Against UBS Rep Nicholas Finn
Financial Industry Regulatory Authority (FINRA) records reveal that New York City broker and investment adviser Nicholas Finn (CRD# 2295090) has received two pending customer complaints. The complaints against the UBS Financial Services representative concern investments in an options overlay strategy.
Stephen Sullivan: FINRA Probes Alleged Churning by Garden City Rep
An investigation into Spartan Capital Securities stockbroker Stephen Sullivan (CRD# 3123249) concerns a “preliminary determination” by the Financial Industry Regulatory Authority that he be sanctioned for alleged excessive trading, churning and unsuitable investment recommendations. FINRA records show that the Garden City, New York representative has also received investor disputes, including one that settled for… Read More »
Todd Perry: Options Complaints Against UBS Rep
New York City-based broker and investment adviser Todd Perry (CRD# 2939050) has received two customer complaints alleging misconduct surrounding an options overlay strategy investment. One of the complaints against the UBS Financial Services representative is pending, while the other reached a six-figure settlement, according to records provided by the Financial Industry Regulatory Authority. The… Read More »
