UBS Financial Services, Inc.: (CRD#: 8174/SEC#: 801-7163, 8-16267)
This firm was formerly UBS Paine Webber Inc. and changed its name in June 2003. The company was founded in 1879 and is based in Weehawken, New Jersey. UBS Financial Services Inc. operates as a subsidiary of UBS Americas, Inc. It currently employs 19,620 people. The UBS stands for Union Bank of Switzerland.
UBS Financial Services Inc., is licensed in 53 States and Territories and has over 50 offices worldwide. Its total assets in 2018 were $958.48 billion, with a net income of $4.10 billion and total equity of $52.92 billion.
UBS Financial Services Broker, Mark Zeller, Has Pending Complaint, Arising From His Recommendation That Clients Participate In The UBS Yield Enhancement Strategy
By mwolper | Jun 23, 2019
Mark Zeller is a Financial Advisor at UBS Financial Services Corp. in New York, NY. Mark Zeller entered the securities industry in 1993 and previously worked at Citigroup Global Markets. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Mark Zeller has been the subject of a customer complaint, arising from […]
Fired UBS Financial Advisor, Nicolas Barrios, Barred By FINRA After Investigation Into Whether He Committed Fraud
By mwolper | Jun 13, 2019
Nicolas Barrios is a former Financial Advisor at UBS Financial Services in Winter Haven, Florida. Nicolas Barrios entered the securities industry in 1991 and previously worked at Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 25, 2019, UBS terminated Nicolas Barrios “after stating during Firm review: […] Read More →
UBS Financial Services Broker, Matthew Buchsbaum, Has Nine Pending Complaints, Arising From His Recommendation That Clients Participate In The UBS Yield Enhancement Strategy
By mwolper | May 19, 2019
Matthew Buchsbaum is a Financial Advisor at UBS Financial Services Corp. in New York, NY and the Senior Portfolio Manager of the UBS Yield Enhancement Strategy. Matthew Buchsbaum entered the securities industry in 1997 and previously worked at DLJ Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since […]
UBS Financial Services Broker, Scott Rosenberg, Has Three Pending Complaints, Arising From His Recommendation That Clients Participate In The UBS Yield Enhancement Strategy
By mwolper | May 19, 2019
Scott Rosenberg is a Financial Advisor at UBS Financial Services Corp. in New York, NY. Scott Rosenberg entered the securities industry in 1997 and previously worked at DLJ Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2018, Scott Rosenberg has been the subject of three customer complaints, […]
UBS Financial Advisor, Andrew F. Perry, Has Two Customer Complaints Involving Options Strategies
By mwolper | May 13, 2019
Andrew F. Perry is a Financial Advisor at UBS Financial Services Inc. in Short Hills, New Jersey. Andrew Perry has been in the securities industry since 1987 and previously worked at Deutsche Bank Securities, Merrill Lynch, Lehman Brothers, Salomon Brothers, Prudential Securities and Thomson McKinnon Securities. According to publicly available records released by the Financial […]
FINRA Fines And Suspends UBS Financial Advisor, Richard D. Niemann, For Exercising Discretion In Customer Accounts Without Authorization
By mwolper | Mar 11, 2019
Richard D. Niemann is currently a Financial Advisor at UBS Financial Services Inc. in its Sugar Land, Texas branch office. Richard Niemann has been in the securities industry since 1971, and previously worked at Merrill Lynch, Lehman Brothers and Salomon Smith Barney. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […] Read More →
UBS Broker, Dwight West, Has Pending Customer Complaint, Alleging Unsuitable Recommendations To An Elderly Client
By mwolper | Sep 30, 2018
The Wolper Law Firm is currently investigating claims against Dwight West, a Financial Advisor at UBS in Lone Tree, Colorado. Dwight West has been in the securities industry since the 1980s and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 24, 2018, the […] Read More →
INVESTOR ALERT—UBS Financial Services Broker, Alex Herrera, Barred By FINRA For Allegedly Selling Away
By mwolper | Aug 10, 2018
The Wolper Law Firm is currently investigating claims against Alex Herrera, a former Financial Advisor at UBS Financial Services in Coral Cables, Florida (Miami). Alex Herrera has been in the securities industry since 1999 and previously worked for HSBC Securities and Atlas One Financial Corp. According to publicly available records released by the Financial Industry […] Read More →
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks.
[Attorney Bio]