Investors potentially incurred losses because of securities broker Gerald O’Niell McGinley (also known as Gerry McGinley) [CRD: 1811084, Westport, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gerald McGinley worked for UBS Financial Services Inc. from December 2, 2015, to the present. See the following information to learn more about Gerald McGinley’s disclosures.
Specifically, a UBS client filed FINRA Arbitration No. 24-00504 about Gerald McGinley. Mainly, the client alleged that McGinley made misrepresentations and made unsuitable recommendations in an options overlay strategy. Because of this, the client allegedly sustained damages. As a result, on May 19, 2025, UBS settled this matter by paying the client $400,000 in damages.
Particularly, a client of UBS disputed Gerald McGinley’s sales practices, according to a complaint dated July 9, 2020. Allegedly, McGinley made misrepresentations and gave unsuitable advice about an options overlay strategy. It appears that McGinley allegedly caused the client to sustain damages. Therefore, the client sought compensation from UBS or McGinley in the amount of $500,000 to $1,000,000 in this matter. However, the firm denied this complaint.
Do you need clarification on any investment losses relating to Gerald McGinley? Contact Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers work on a contingency fee basis and advance all costs. McGinley and brokerage firms McGinley worked for deny allegations 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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