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Robert Spina Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Robert Spina of UBS Financial Services Inc.?

Robert Spina

Robert Spina (CRD #432195) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Garden City, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Robert Spina was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Robert Spina Customer Complaints

Robert Spina has been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints for settle by Morgan Stanley in favor of the investors. The other 2 customer complaints were denied by Robert’s Spina’s current and former employers and to date, no further action has been taken.

Allegations Against Robert Spina

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

  • Unauthorized transfers of funds.
  • Unauthorized disbursements from the customer’s account.
  • Unauthorized trading, unsuitable recommendations and churning to generate excessive commissions.
  • Unfair pricing execution.

Robert Spina Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

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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 Robert Spina

If you have questions about UBS Financial Services Inc. and/or Robert Spina 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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