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Cary Alan Moskowitz with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Cary A. Moskowitz with UBS Financial Services Inc.?

Cary Moskowitz (CRD #1287997) 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., Cary Moskowitz was associated with 7 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, Cary Moskowitz has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Cary Moskowitz’s 3 customer complaints was settled in favor of investors. Another one of Cary Moscowitz’s customer complaints alleging damages of $14 million was recently denied and his customer has not yet filed the arbitration claim.

Allegations Against Cary Moskowitz

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

  • Claimant alleged that Cary Moscowitz wrote extremely speculative, high risk, uncovered naked options in direct contravention to the client’s risk tolerance and investment objectives. Further, that the financial advisor failed to explain the risks associated with the unsuitable naked option transactions which allegedly caused $14 million in damages.
  • Client alleged that Cary Moscowitz made unsuitable investment recommendations, misrepresentations and provided misleading information regarding investments in mutual funds.
  • Customer alleged misrepresentations were made regarding her investment in the closed-end mutual fund.

Cary Moskowitz Red Flags & Your Rights As An Investor

Of course, Cary Moskowitz 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 Cary Moskowitz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cary Moskowitz has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at UBS Financial Services Inc. which 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. and/or Cary Moskowitz 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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