| Read Time: 2 minutes | UBS Financial Services Complaints |

As a client, you trust your money to a broker who you can believe in. This is why it’s critical to understand everything there is to know about the person investing your cash. This data may assist you in determining whether or not to work with a particular broker.

If you believe Dale Emerick has caused you financial damage, we may be able to assist you in resolving any issues or concerns you have.


Dale Emerick Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Dale Emerick of UBS Financial Services Inc.?

Dale Emerick (CRD #707890) who is currently registered with UBS Financial Services Inc. and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Dale Emerick Customer Complaints

Dale Emerick has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Dale Emerick’s 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Dale Emerick’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct.

Allegations Against Dale Emerick

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

  • Failure to follow client’s instructions related to mutual fund.
  • Unsuitable investment recommendation related to Limited partnership.
  • Unsuitable investment recommendations, misrepresentation and negligence related to the diversification of a customer’s account and use of leverage in connection with a line of credit.

Dale Emerick Red Flags & Your Rights As An Investor

Of course, Dale Emerick 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 Dale Emerick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dale Emerick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s 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. Due To Dale Emerick

If you have questions about UBS Financial Services Inc. and/or Dale Emerick 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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