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Todd M. Michael Perry with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Todd M. Perry with UBS Financial Services Inc.?

Todd Perry (CRD #2939050) who is currently registered with UBS Financial Services Inc. 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 Inc., Todd Perry was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In his career, Todd Perry has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses.

One of Todd Perry’s customer complaints was settled in favor of investors for $500,000. There is currently one pending customer complaint filed against Todd Perry’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct.

Allegations Against Todd Perry

The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are that Todd Perry made unsuitable investment recommendations and misrepresentations to invest in and hold an option overlay strategy known as the UBS-YES Yield Enhancement Strategy.

Todd Perry Red Flags & Your Rights as An Investor

Of course, Todd Perry 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 that should put all current and former customers of Todd Perry at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Todd Perry has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at UBS Financial Services Inc. about the UBS–YES Yield Enhancement Strategy also raises questions about its 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 Inc.

If you have questions about UBS Financial Services Inc. and/or Todd Perry 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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