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Eric Andrew Wittenberg with UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Eric A. Wittenberg with UBS Financial Services Inc.?

Eric Wittenberg (CRD #1552330) 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., Eric Wittenberg was associated with Credit Suisse Securities (USA) LLC and 6 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, Eric Wittenberg has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. The most recent complaints all appear to relate to the UBS Financial Services, Inc. Yield Enhancement (UBS-YES) Strategy. There are currently 3 pending customer complaints filed against Eric Wittenberg’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in connection with the UBS- YES strategy.

Allegations Against Eric Wittenberg

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

  • Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold options overlay strategy.
  • Client alleged over-weighted in technology stocks.

Eric Wittenberg Red Flags & Your Rights As An Investor

Of course, Eric Wittenberg 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 Eric Wittenberg at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Eric Wittenberg 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 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 Eric Wittenberg 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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