Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Anita Maria Brennan (CRD#: 858500, San Juan, Puerto Rico) has been a UBS Financial Services Inc. general securities representative since April 18, 2000. Mainly, Brennan disclosed on her FINRA BrokerCheck Report that at least eight customers took aim at her sales practices. For example, here is a summary of some disputes customers brought involving Brennan:
A customer of UBS Financial Services contested Brennan’s investment recommendations in filing FINRA Arbitration #18-03640. In the Statement of Claim filed October 19, 2018, the customer claimed unsuitability and misrepresentation. Primarily, Brennan allegedly told the customer to purchase Puerto Rico securities and hold them when they became volatile. Notably, the customer’s account was allegedly over-concentrated in Puerto Rico bonds, funds and stock products. Not only that, but Brennan allegedly misrepresented facts about Puerto Rico investment risks. Because of this, the customer seeks compensatory damages in this pending matter.
A UBS Financial Services customer filed a Statement of Claim in FINRA Arbitration #18-02278 on June 25, 2018. Mainly, the customer alleged Brennan misrepresented bonds the customer purchased. Supposedly, Puerto Rico municipalities issued the bonds sold to the customer. Also, the customer indicated that Brennan sold the customer bad investments which caused the customer losses. Accordingly, the customer seeks $250,000.00 in damages in this ongoing matter.
Evidently, on February 14, 2018 a customer of UBS Financial Services brought FINRA Arbitration #18-00213. Supposedly, Brennan invested the customer’s funds in unsuitable Puerto Rico bonds and closed end funds. Also, Brennan allegedly made misrepresentations by telling the customer that the Puerto Rico securities were safe investments. Additionally, Brennan supposedly invested large amounts of the customer’s brokerage holdings in the risky investments. Because of this, the customer alleged $415,000.00 in damages.
Experienced losses by investing in UBS Financial Services broker Anita Brennan? If so, contact Soreide Law Group at (888) 760-6552. Speak with experienced counsel about a possible recovery of your investment losses. Soreide Law Group represent clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors who have suffered losses due to misconduct of brokers and brokerage firms.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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