Close Menu
Free Consultation: 888-976-6111

Lizzie Decarlo: $500K Complaint Against UBS/Hidden Oak Advisor

New York City financial advisor Lizzie Decarlo (CRD# 4979403) recently received an investor complaint alleging misconduct connected to an options overlay strategy. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with UBS Financial Services, whose website describes her as a member of the Hidden Oak Partners.

Ms. Decarlo’s BrokerCheck report discloses one investor complaint. Filed in December 2022, the complaint alleges that as a representative of UBS Financial Services, she made misrepresentations of material facts and unsuitable recommendations to invest in and hold an options overlay strategy. The pending complaint alleges damages of $500,000.

According to the firm’s website, Ms. Decarlo is a member of Hidden Oak Partners, a private wealth management group at UBS. In a biographical statement on her profile, she states that she “works closely with clients to develop and implement their financial plans” and “delves into each client’s unique situation and creates custom ‘blueprints’ to help them meet future goals.”

According to the Financial Industry Regulatory Authority, Lizzie Decarlo holds nine years of securities industry experience. Based in New York, New York, she has been a broker and an investment advisor with UBS Financial Services since 2015. She was previously registered with Credit Suisse Securities in New York City, from 2013 until 2015. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE;  and the Uniform Combined State Law Examination, or Series 66. She currently holds 36 state licenses. (Information current as of February 9, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • CoinFund Liquid Opportunities LP Losses: Investors May Have Options

    In July 2023, US-based cryptocurrency investment firm and registered investment adviser CoinFund announced that it had closed its $158 million...

    Read More
  • Elba Nogueras: FINRA Suspends Ex-First Southern Advisor

    Former Guaynabo, Puerto Rico financial advisor Elba Nogueras (CRD# 4459340) has been involved involved in multiple investor complaints involving Puerto...

    Read More
  • Daniel Snover: PMV Advisor Faces $383K Complaint

    Addison, Texas financial advisor Daniel Snover (CRD# 5161189) recently received an investor complaint alleging his conduct resulted in losses exceeding...

    Read More
  • Jennifer Basey: $75K Complaint Against Stifel Nicolaus Advisor

    A recent investor complaint against Fort Myers financial advisor Jennifer Basey (CRD# 4730054) alleges that her advice resulted in losses....

    Read More
  • Previous
  • Next