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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 to Financial Industry Regulatory Authority (FINRA) records, the complaint concerns an options strategy investment offered by his firm, UBS Financial Services, and seeks damages of more than $500,000.

The pending complaint listed on Alex Williams’ FINRA records was filed in August 2019. It details allegations concerning an options overlay investment offered by UBS Financial Services, with the alleged misconduct occurring between January 2017 and the present. The complaint specifically alleges misrepresentations were made regarding the strategy, and that the strategy was unsuitable for the customer. The complaint alleges damages of $725,000 and remains pending.

Alex Williams has been registered with UBS Financial Services in New York, New York since 2009. He is a Managing Director at the firm, as well as part of the Rukeyser Williams Group, according to the business development website Relationship Science. He was previously registered with Morgan Stanley & Company in Rochester, New York from 1995 until 2009. According to FINRA records, his other business activities include serving on the board of directors of a college preparatory school, owning and operating a multi-family housing complex, serving on the board of directors of a real estate investment business, serving on a photography museum’s investment committee, and serving on the board of directors of a college preparatory academy that educates and trains ski athletes. Williams has passed seven securities industry qualifying examinations, including the General Securities Representative Examination, the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the General Securities Sales Supervisor – General Module Examination. His BrokerCheck report lists 28 state securities licenses, including: California, Florida, Maryland, New Hampshire, New Mexico, New York, Rhode Island, Texas, Utah, and Virginia. (Information current as of July 16, 2020.)

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