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Robert Perlman Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Robert Perlman of UBS Financial Services?

Robert Perlman (CRD #1892131) who is currently registered with UBS Financial Services 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, Robert Perlman was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Robert Perlman Customer Complaints

Robert Perlman has been the subject of 3 customer complaints that we know about. Two of Robert Perlman’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Robert Perlman’s alleged misconduct.

Allegations Against Robert Perlman

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

  • Client alleged Robert Perlman’s unauthorized trading, failure to follow instructions, and poor performance.
  • Complainant alleged that Robert Perlman offered unsuitable investment advice and misrepresented the value of his account.
  • Claimant’s counsel alleged Robert Perlman’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Robert Perlman Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Robert Perlman 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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