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


Jason Matthew Dworak with UBS Financial Services, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Jason M. Dworak with UBS Financial Services, Inc.?

Jason Dworak (CRD #2434370) who is currently registered with UBS Financial Services, Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Jason Dworak was associated with 3 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, Jason Dworakhas been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. It appears that all 3 of the most recent complaints relate to the UBS Financial Services, Inc. Yield Enhancement Strategy otherwise known as the UBS-YES strategy. 

The 4th complaint was denied by his former employer and the customer did not pursue any legal action. The 3 customer complaints filed against Jason Dworak’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending.

Allegations Against Jason Dworak

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

  • The customer alleges the financial advisor churned his account.
  • Three claimants in separate arbitrations have alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a wrap fee account.

Jason Dworak Red Flags & Your Rights as An Investor

Of course, Jason Dworak 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 that should put all current and former customers of Jason Dworakat UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Dworakhas 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. and/or Jason Dworakand 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 $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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars