UBS FINANCIAL SERVICES INC. Tag Archives

Broker Eric Singer in UBS Financial Services INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Singer (Singer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Singer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st. 2017 to September 12th, 2023\, What were the allegations against the individual – The client, through counsel, alleges the financial advisor failed to make sure the account was properly funded to meet the minimum funding standards set forth in the internal revenue code. The client further alleges that the financial advisor did not disclose that the RAM CBP was underfunded when he provided advice to transfer funds from the client’s 401K to the RAM CBP.

There are Recent Customer Complaints with Broker Rafael Williamson in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Williamson (Williamson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Williamson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

There are Recent Customer Complaints with Broker Victoria Conigliaro in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro 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 $140,301.00 on February 07, 2025.

Time Frame: October 2nd, 2023 to June 28th, 2024\, What were the allegations against the individual? The attorney for Trustee alleges that transactions were made in the client’s account that were not in the best interest of the client and outside the normal withdrawal patterns. Attorney further alleges that no review was conducted to prevent the suspicious and unusual withdrawals resulting in depletion of the client’s account resulting in elder abuse.

There are Recent Customer Complaints with Broker Christopher Halstedt in Firm UBS Financial Services INC.

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Halstedt (Halstedt), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Halstedt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 14, 2025.

Time Frame: September 6th, 2024 to February 19th, 2025\, What were the allegations against the individual? The client verbally alleges her instructions to not liquidate her equity positions were not followed.

Broker Salvatore Baio in UBS Financial Services INC. Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Baio (Baio), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Baio 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 $50,000.00 on February 26, 2025.

Claimant alleges failure to supervise in regards to the unsuitability of certain investments in his account.

There are Recent Customer Complaints with Broker John Geoghan in Firm UBS Financial Services INC.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Geoghan (Geoghan), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geoghan 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 $50,000.00 on February 26, 2025.

Time frame: 2019-2021 \, Allegations: Claimant alleges failure to supervise in regards to the unsuitability of certain investments in their account.

Broker Mark Joffrion in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion 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 $15,202.35 on February 27, 2025.

Time Frame: January 3rd, 2023 to January 13th, 2025\, What were the allegations against the individual – The client alleges his Financial Advisor provided unsuitable investment advice and misrepresented the tax ramification of the investments.

There are Recent Customer Complaints with Broker Gregory Geller in Firm UBS Financial Services INC.

April 14, 2025 | by Staff Attorney

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.

Broker Russell Rabito in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Rabito (Rabito), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rabito recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Time frame: 2017-2024 \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Mark Specker in Firm UBS Financial Services INC.

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Specker (Specker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Specker 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.