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Maria Gasparro Of UBS Financial Services Inc. And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Maria Gasparro of UBS Financial Services Inc.?

Maria Gasparro

Maria Gasparro (CRD #2394770) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Melville, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Maria Gasparro was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Maria Gasparro Customer Complaints

Maria Gasparro has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Merrill Lynch Pierce Fenner and Smith in favor of the investor. The other customer complaint that was just filed is still pending.

Allegations Against Maria Gasparro

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

  • Alleged forgery of client’s signature on certain account documents.
  • Misappropriation of funds from customer’s account.

Maria Gasparro Red Flags & Your Rights As An Investor

Of course, Maria Gasparro 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 Maria Gasparro at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Maria Gasparro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Maria Gasparro

If you have questions about UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Maria Gasparro 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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