Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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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 »
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 »
