Product Types

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