DID SCOTT MICHAEL ROSENBERG CAUSE YOU INVESTMENT LOSSES?

Scott Rosenberg Of UBS Financial Services Inc. Has 27 Customer Complaints For Alleged Broker Misconduct

Who is Scott Rosenberg of UBS Financial Services Inc.?

Scott Rosenberg (CRD #2754292)

Investment Losses? Let’s talk.

or, give us a ring at (833) 300-6983.

Scott Rosenberg Customer Complaints

Scott Rosenberg has been the subject of 27 customer complaints that we know about to recover investment losses. Five of the customer complaints proceeded to arbitration and resulted in arbitration awards in favor of the investors; one award was more than $5 million to the investor. Five of the customer complaints were settled by UBS Financial Services in favor of the investors. The same brokerage firm denied 10 other customer complaints and, to date, the investors have not taken any further action. There are currently 7 other FINRA arbitration proceedings pending against UBS Financial Services for Scott Rosenberg’s alleged misconduct.

Allegations Against Scott Rosenberg

The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses arise out of and options overlay strategy known as UBS YES Yield Enhancement Strategy. It was a complex options overlay investment strategy that affected hundreds of investors at the brokerage firm. The general allegations were unsuitable investment recommendations and misrepresentations with respect to the recommendations to invest in and hold that options overlay strategy.

Scott Rosenberg Red Flags & Your Rights As An Investor

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

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 (833) 300-6983. 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 (833) 300-6983.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Scott Rosenberg

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