Investors allegedly experienced losses because of securities broker / financial advisor Alan Jeffrey Cohen [CRD: 1465867, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Alan Cohen worked for UBS Financial Services Inc. from January 12, 2007, to September 10, 2021, before joining Stifel Nicolaus Company Incorporated on September […]

Broker RJ Bernstein (Morgan Stanley, Wells Fargo) Faces Investor Allegations Of Sales Practice Violations Soreide Law Group is reviewing investor disputes against securities broker Richard Jay “RJ” Bernstein (CRD#: 1113777, Los Angeles, California). Evidently, Bernstein worked for securities firms Merrill Lynch, Bear Stearns, Prudential Securities, Salomon Smith Barney, UBS Financial Services, Morgan Stanley, and Wells […]

Clients Of UBS Indicate Fred Kort Sold Unsuitable, Misrepresented Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Frederick Maximilian Kort (CRD#: 5376727, Chicago, Illinois). Notably, four investors brought complaints or lawsuits about the securities broker, who worked for UBS Financial Services between August 2007 and May 2018 at […]

NICOLAS BARRIOS Expelled By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it expelled UBS Financial Services Inc. securities broker Nicolas Barrios (CRD#: 2122824, Winter Haven, Florida). Evidently, Barrios – who worked for UBS as a Production Branch Manager from November 14, 2008 to May 15, 2019 – consented to the sanction of a bar […]

ATTENTION INVESTORS: Claims Against UBS Broker ANITA BRENNAN 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 […]

Misconduct Allegations Against UBS Financial Services Brokers UBS Financial Services Inc.  (CRD#: 8174) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. UBS’ main offices are in Weehawken, New Jersey. UBS has reported 858 discloses regarding its alleged mishaps in the securities industry. 453 of those disclosures concern […]

Claims Filed Against UBS For Excessive Fees And Unsuitability Soreide Law Group is investigating excessive trading, misrepresentation and suitability claims on behalf of customers who invested with UBS Financial Securities Inc. (CRD#: 8174, Weehawken, New Jersey) brokers and financial advisors including Susan Lyn Crown, Michael Patrick Gerard, Brandt Judah Cybul and Martin Patrick McLaughlin. The […]

FINRA Investigating UBS’s Phillip George Farmer For Unsuitability Phillip George Farmer (CRD#: 2306865, Wilmington, Delaware) was a registered representative of UBS Financial Services Inc. from February 17, 2009 to January 6, 2016. On October 19, 2017, Financial Industry Regulatory Authority (“FINRA”) launched an investigation into Farmer’s sales practices. Phillip George Farmer Suitability Investigation FINRA BrokerCheck […]

Attorney Lars Soreide has filed a second FINRA arbitration this month against UBS of Puerto Rico for the sale of their proprietary bond fund the “Puerto Rico Fixed Income Fund IV”. This investment represented 100% of the investor’s life savings and UBS allegedly encouraged the investor to borrow money against his sole investment to purchase […]