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Category UBS Financial Services

Complaint Pending Against UBS Financial Services Investment Advisor Richard “Rick” Whalen Alleging Unsuitability

March 14, 2021

Richard “Rick” Whalen (CRD#: 1097944) is an Investment Advisor at UBS Financial Services in Phoenix, AZ. He entered the securities industry in 1983 and previously worked for Citigroup Global Markets, Inc.; Kidder, Peabody & Co., Inc; Westamerica Investment Group; RL Kotrozo, Inc.; and Plenge Thomas & Nofer, Inc. According to publicly available records released by…

Investment Loss Recovery Options For Investors In UBS ETRACS Exchange Traded Notes

April 3, 2020

The Wolper Law Firm is currently investigating UBS Financial Services, Inc.’s sale of ETRACS Exchange Traded Notes, or “ETRACS ETNs” after clients suffered devastating losses in February and March 2020. ETRACS ETNs are senior, unsecured, unsubordinated debt securities that are designed to track the total return of a specific market index. Most of the ETRACS…

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