Investors might have faced financial losses due to securities broker Donald DePiro [CRD: 3095140, Melville, New York], as indicated by disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePiro joined UBS Financial Services Inc. in Melville, NY, on February 18, 2021. Prior to this, he worked for Merrill Lynch Pierce Fenner Smith Incorporated in Riviera Beach, Florida, from September 4, 2009, to February 22, 2021. Read on for insights into DePiro's disclosures, including allegations of unauthorized trading and misrepresentation.
Notably, on August 9, 2021, a Merrill Lynch client filed a complaint about Donald DePiro. Namely, the client alleged that DePiro engaged in unauthorized trading on March 10, 2020, involving stocks. Consequently, the client reportedly suffered damages and sought $25,000 in compensation. This complaint, however, was denied on September 2, 2021.
Further, a complaint was lodged about DePiro concerning his activities at UBS Financial Services Inc. Specifically, the client accused DePiro of misrepresentation and making an unsuitable recommendation concerning the client's purchase of Lehman Brothers Principal Protected Notes. The alleged damages were $25,000. This dispute was settled on February 7, 2011, with a settlement amount of $20,000.
In another instance, a client of UBS Financial Services Inc. filed a complaint on July 10, 2009, alleging misrepresentation by DePiro regarding structured notes in October 2007. This dispute was settled on July 27, 2010, for $31,000.
If you have incurred losses because of Donald DePiro, reaching out to Soreide Law Group might be a prudent step. Engage with them online or call (888) 760-6552 to explore options for recovering your investment losses. Soreide Law Group, serving investors nationwide on a contingency fee basis, advances all costs. DePiro and the firms he worked with deny any allegations of improper sales practices.
CLIFFORD RONALD REID (CLIFFORD R REID) was previously registered with REID RUDIGER LLC of New York, NY from 10/06/1999 - 04/30/2026. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CLIFFORD R REID has 34 years of experience in the securities industry and was listed as a broker with 4 firms. Reid is […]
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