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Michael Carelli Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Michael Carelli of UBS Financial Services?

Michael Carelli (CRD #2412306) who is currently registered with UBS Financial Services and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Michael Carelli Customer Complaints

Michael Carelli has been the subject of 2 customer complaints that we know about. One of Michael Carelli’s customer complaints was settled in favor of investors. One of Michael Carelli’s customers’ complaints was denied and, to date, the customers have not taken any further action.

Allegations Against Michael Carelli

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

  • Michael Carelli allegedly made misrepresentations concerning auction rate security purchased.
  • Claimant’s alleged Michael Carelli made unsuitable investment recommendations and mismanagement with respect to handling of accounts.

Michael Carelli Red Flags & Your Rights As An Investor

Of course, Michael Carelli 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 Michael Carelli at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Carelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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.

File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Michael Carelli

If you have questions about UBS Financial Services and/or Michael Carelli 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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