Broker John Fulton Supposedly Misrepresented Investments To UBS Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors brought complaints or lawsuits against securities broker John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida). Apparently, these investors suggest that Fulton, who has worked for UBS Financial Services since 2002, caused […]

Broker Scott Rosenberg Under Fire For Possible Bad Investment Sales Soreide Law Group is investigating whether to bring investor disputes involving Scott M. Rosenberg (CRD#: 2754292, New York, New York). Alarmingly, Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that between April 2018 and June 2020, more than 20 investors brought disputes about Rosenberg’s sales […]

Securities Broker Nancy Glassman Might Have Made Bad Trades Soreide Law Group is reviewing potential investor claims alleging bad securities business by Nancy Dawn Glassman (CRD#: 1734992, New York, NY). Namely, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that there are 4 investor disputes regarding the securities broker. Evidently, she worked for UBS Financial Services […]

UBS Clients Take Issue With Matt Buchsbaum's Options Overlay Strategy Recommendation Soreide Law Group is reviewing possible investor claims against broker Matthew Stern Buchsbaum (CRD#: 2220565, New York, New York). According to FINRA BrokerCheck, a number of his clients filed disputes about his sales practices. In fact, clients suggest that Buchsbaum placed them in unsuitable […]

UBS Clients Indicate That Peace Murans Made Unsuitable, Unauthorized Trades Investor Alert! Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows troubling information in regard to former UBS Financial Services securities broker Paul “Peace” William Murans [CRD#: 3266607, Indianapolis, Indiana]. Apparently, at least four clients took issue with the securities broker.  Notably, three of those clients filed […]

UBS Clients Indicate That Broker Gerard Costello Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Gerard Costello [CRD#: 1551511, New York, NY]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who joined UBS Financial Services on November 20, […]

UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

UBS Broker Juan Goytia Discloses 89 Investor Disputes Soreide Law Group is reviewing possible claims of sales practice violations by Juan Goytia (CRD#: 4473937, San Juan, Puerto Rico). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for UBS from February 14, 2002 to July 27, 2018, is entangled in […]