Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Geller (Geller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $288,000.00 on March 05, 2025.
Time frame: 2021-2023 \, Allegations: Claimants allege that they were not informed and there was a failure to disclose that First Republic had suspended dividends on its common and preferred stocks in early 2023. Claimants further allege the yields on US Treasuries that they purchased were misrepresented.
