Wendy Holmes: UBS Rep Has $400K Pending Options Overlay Complaint

Wendy Holmes (CRD# 2944190), a broker and investment adviser registered with UBS Financial Services, has received a pending customer complaint detailing allegations connected to an options investment. According to digital records kept by the Financial Industry Regulatory Authority (FINRA), a securities industry oversight body, she is based in New York City.

The pending complaint listed on Wendy Holmes’ BrokerCheck report was filed in April 2019. It details alleged conduct while she was employed by UBS Financial Services, between September 2016 and the present. Specifically, it alleges that recommendations connected to an options overlay strategy were not suitable for the customer, and that they were misrepresented. The complaint, which is still pending, alleges damages of $400,000.

Wendy Holmes has been registered with UBS Financial Services in New York, New York since 2015. Her previous registrations include Credit Suisse Securities in New York, New York, where she was registered from 2010 until 2015; UBS Financial Services in New York, New York, where she was registered from 2008 until 2010; UBS International in New York, New York, where she was registered from 2007 until 2008; Citigroup Global Markets in New York, New York, where she was registered from 2003 until 2004; Citicorp Investment Services in Long Island City, New York, where she was registered from 2000 until 2003; and Salomon Smith Barney in New York, New York, where she was registered from 1999 until 2000. She has passed five securities industry qualifying examinations: the Uniform Combined State Law Examination, or Series 66; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. Her BrokerCheck report lists 34 state securities licenses, including: Arizona, California, Florida, Idaho, Illinois, New Jersey, New York, South Carolina, Tennessee, and Texas. (Information current as of May 11, 2022.)

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