Siobhan Shaughnessy Involved in $1 Million Dispute
Siobhan Shaughnessy (CRD# 5151594), a broker registered with UBS Financial Services, recommended an unsuitable strategy, according to an investor dispute. MDF Law is investigating the Purchase, New York-based financial professional for similar conduct. Current or former clients with concerns about their accounts are encouraged to reach out for a free, confidential consultation. To learn more […]
Scott Meador, UBS Broker, Involved in $1 Million Dispute
Scott Meador (CRD# 2202512), a broker registered with UBS Financial, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Naples, Florida-based financial professional for similar conduct. If you suffered losses in your accounts, reach out for a free consultation with an attorney. This post contains additional information about Mr. Meador’s history as […]
Tracy Longstreet Allegedly Stole from Customer Accounts
Tracy Longstreet (CRD# 1768525), formerly a broker registered with UBS Financial Services, stole from a client’s accounts, according to a pending dispute. MDF Law is investigating the former Houston, Texas-based financial professional for similar conduct. If you have concerns about your portfolio, contact us for a free and confidential consultation with an attorney. Continue reading […]
John Saunders Allegedly Made Unauthorized Trades
John Saunders (CRD# 870131), a broker registered with UBS Financial Services, made unauthorized transactions, according to an investor dispute. MDF Law is investigating the Roanoke, Virginia financial professional for similar conduct. We urge investors with concerns about their accounts to contact us as soon as possible. To learn more about the allegations against Mr. Saunders, […]
UBS Broker Involved in $500,000 Customer Arbitration
Nick Polydoros (CRD #: 1109056), a broker registered with UBS Financial Services in Scottsdale, Arizona, is involved in a half-million-dollar investor dispute, according to his BrokerCheck record, accessed on November 24, 2021. On February 24, 2021, an investor alleged that Nick Polydoros recommended unsuitable investments. They further alleged that those investments resulted in principal losses. […]
UBS Settles Complaint over Arizona Advisor Rick Whalen’s Recommendations
Rick Whalen (CRD #: 1097944), a broker registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on November 10, 2021. Customer: Rick Whalen Overconcentrated Account in Energy On January 25, 2021, an investor alleged that Rick Whalen recommended unsuitable securities. They further alleged that Whalen had over-concentrated […]