DID RACHEL E. GOTTLIEB CAUSE YOU INVESTMENT LOSSES?

Rachel Gottlieb Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Rachel Gottlieb Customer Complaints and Reviews

Rachel E. Gottlieb’s professional record includes two customer disputes:

Customer Dispute 1 (Settled): Originated from the sale of an Auction Rate Security (ARS) before the ARS market’s widespread illiquidity crisis in February 2008. The firm agreed to repurchase the securities at issue at par value from the client under a global repurchase agreement with several regulatory bodies. This settlement, recorded on December 23, 2008, was for $150,000 but was not considered an admission of fault by Gottlieb, as she was not personally involved in the repayment to the client.
Customer Dispute 2 (Closed – No Action): On July 14, 2020, a client alleged unauthorized trading involving the sale of equities valued at $40,000, which Gottlieb denies. She asserts that all actions were based on verbal instructions received during a client meeting, focusing on diversification to mitigate risks associated with a concentrated position. This complaint was closed on August 17, 2020, with no action taken against her.

Allegations Against Rachel Gottlieb

The allegations against Rachel E. Gottlieb in the customer disputes include:

Allegation 1: Mismanagement related to the sale of Auction Rate Securities, claimed in the context of the 2008 financial crisis. The complaint was settled as part of a broader industry issue, not due to individual wrongdoing.
Allegation 2: Unauthorized trading concerning the sale and reinvestment of equity shares. Gottlieb responded that she acted upon the client’s verbal instructions and that the actions taken were part of a strategy agreed upon by the client, focusing on reducing risk through diversification. This complaint was closed with no action, indicating insufficient evidence to support the client’s claims.

Rachel Gottlieb Red Flags & Your Rights As An Investor

Of course, Rachel Gottlieb 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 Rachel Gottlieb at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Rachel Gottlieb 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 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?

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 Due To Rachel Gottlieb

If you have questions about UBS Financial Services and/or Rachel Gottlieb 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.

Rachel Gottlieb Of UBS Financial Services Reviews