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 […]