| Read Time: 2 minutes |


Scott Rosenberg of UBS Financial Services Has 21 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Scott Rosenberg of UBS Financial Services?

Scott Rosenberg who is currently registered with UBS Financial Servicesand located in New York, New Yorkis a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services,Mr. Rosenberg was associated withCredit Suisse Securitiesas a registered representative.

Scott Rosenberg Broker Misconduct

In hiscareer, Mr. Rosenberg has been the subject of 21customer complaints that we know about, 10 of those complaints were filed in the last year. Four of the complaints filed were denied or withdrawn without any further action. The 10 pending customer complaints filed against Mr. Rosenberg current employer UBS Financial Servicesfor his alleged misconduct appear to be in connection with an investment strategy that failed.

Allegations Against Scott Rosenberg

The allegations made in all the FINRA reported arbitration claim pending complaints are: “Claimants counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.” We suspect the strategy referred to is the UBS Yield Enhancement Strategy otherwise known as the UBS-YES strategy.

Scott Rosenberg Red Flags & Your Rights As An Investor

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

If you have questions about UBS Financial Services and/or Mr. Rosenberg 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.

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 $160 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