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Adam F. Epstein with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years

Who is Adam F. Epstein with UBS Financial Services Inc.?

Adam Epstein (CRD #4043653) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to UBS Financial Services Inc., Adam Epstein was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In his career, Adam Epstein has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Adam Epstein’s 4 customer complaints were denied by his former employer, and to date, the customers have not taken any further action. 

There are currently 2 pending customer complaints filed against Adam Epstein’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct.

Allegations Against Adam Epstein

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The former customer alleges that the financial advisor did not follow his instructions to liquidate positions in his accounts.
  • The customer alleged that her instructions to liquidate her retirement accounts were not executed by Adam Epstein on a timely basis.
  • Two customers and separate arbitration’s alleged that Adam Epstein misrepresented and recommended an unsuitable investment strategy known as the UBS Yield Enhancement Strategy, a.k.a. UBS-YES option overlay strategy in  UBS wrap fee accounts

Adam Epstein Red Flags & Your Rights as An Investor

Of course, Adam Epstein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Epsteinat UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC alert to review carefully the activity and performance of their accounts and question whether Adam Epstein has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.

If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Adam Epstein and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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