| Read Time: 2 minutes | News & Articles |

DID GERMAN NINO CAUSE YOU INVESTMENT LOSSES?

German Nino Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is German Nino formerly with UBS Financial Services Inc.?

German Nino (CRD #2653707) who was formerly registered with UBS Financial Services Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., German Nino was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

German Nino has had his own problem with the securities regulators. In 2022, United States SEC filed and settled a federal securities law complaint and administrative proceeding against him. The SEC’s complaint alleged, among other things, that from approximately May 2014 through February 2020, Mr. Nino misappropriated approximately $5.8 million from one of his long-standing investment advisory clients.

German Nino Customer Complaint

German Nino has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that German Nino stole money from him. UBS Financial Services settled the customer complaint for over $5.8 million.

German Nino Red Flags & Your Rights As An Investor

Of course, German Nino 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 German Nino at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether German Nino 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 German Nino

If you have questions about UBS Financial Services Inc.  and/or German Nino 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.

Author Photo

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 $160 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...