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 Timothy Croak: $848,000 Award in Options Complaint
Timothy Croak (CRD# 840899), a New York City-based broker and investment adviser, was involved in a customer complaint that concluded with an award to the claimants, according to Financial Industry Regulatory Authority (FINRA) records. The complaint against the UBS Financial Services representative alleged misconduct surrounding an options investment strategy.
Pending Complaint Against UBS Rep Lance Cholet: Options Strategy
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.
Robert Perlman: NYC UBS Rep Had $750K Options Complaint
Robert Perlman (CRD# 1892131), a broker and investment adviser based in New York City, has received an investor 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 alleged damages of $750,000 and was denied by the… Read More »
John Loughran: NYC Broker 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.
NYC Rep Mark Zeller: Options Complaint Reached $89K Award
Mark Zeller (CRD# 2263684), a New York City-based broker and investment adviser, has received a customer complaint detailing allegations regarding an options investment strategy offered by his member firm, UBS Financial Services. Financial Industry Regulatory Authority (FINRA) records indicate that a FINRA arbitration panel issued an award to the customer.
Investor Complaint Against UBS’s Christopher Tolman: Options Strategy
Christopher Tolman (CRD# 2066775), a broker and investment adviser based in New York City, has received a pending complaint alleging that an options overlay strategy investment offered by his firm, UBS Financial Services, was unsuitable. The complaint alleges six-figure damages, according to records maintained by the Financial Industry Regulatory Authority (FINRA).
UBS Broker Steven Chille Receives YES 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 settled for more than $700,000.
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 settled for more than $700,000.
Janie Garza-Clark: $950K Complaint Against Barred Scottsdale Rep
A sanction against ex-TCFG Wealth Management stockbroker Janie Garza-Clark (CRD# 1010752) barred her from acting as a broker after she allegedly refused to provide testimony regarding her relationship with a former client. Financial Industry Regulatory Authority records show that the former Scottsdale, Arizona-based securities professional has also received a pending investor complaint alleging nearly… Read More »
Red Bank Advisor Stacy Goldsmith: Private Placement Complaints
Pending investor complaints listed on Herbert J. Sims & Company broker Stacy Goldsmith’s BrokerCheck report allege hundreds of thousands of dollars in losses. Financial Industry Regulatory Authority records show that Ms. Goldsmith (CRD# 1416323) is currently based in Red Bank, New Jersey.
