Investors potentially experienced sales practice violations by securities broker Arnold I. Irwin Alpert [CRD: 3919, Phoenix, Arizona], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alpert worked for UBS Financial Services Inc. from August 17, 2006, to January 6, 2025, and was previously registered with Salomon Smith Barney Inc. earlier in his career. Investors should continue reviewing the information below to find out more about Alpert’s client disclosures.
Particularly, a client filed a complaint about Arnold Alpert while he was employed by UBS Financial Services Inc. The client alleged that Alpert charged excessive fees after stating the advisory fee would be lower. The client reportedly incurred damages. UBS Financial Services Inc. settled the matter on July 31, 2024, by paying the client $48,508.04 in damages.
Specifically, a client filed a complaint about Arnold Alpert. Mainly, the client alleged that Alpert engaged in unauthorized trading and unsuitable trading. Because of this, the client allegedly sustained damages linked to stocks. Consequently, on November 14, 2003, Salomon Smith Barney Inc. settled this matter by paying the client $20,000 in damages.
Also, a client of Salomon Smith Barney disputed Arnold Alpert’s sales practices, according to a complaint. Allegedly, Alpert failed to follow instructions. It appears that Alpert allegedly caused the client to incur damages relating to stocks. Therefore, Salomon Smith Barney opted to settle the matter on November 11, 2002, by paying the client $12,750.
Are you concerned regarding investments you made through Arnold Alpert? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Alpert and brokerage firms Alpert worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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