Were you the victim of UBS Financial Services Inc. broker Siobhan Brady (CRD# 5151594) regarding equities losses? He has been registered with UBS Financial Services Inc. in Purchase, New York, since 2008.
Siobhan Brady Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2024. “Time frame: 2008 and 2022 Claimants allege that account used to collateralize a line of credit was unsuitably allocated in equities. Claimants further allege that the overall investment strategy was not in their “Best Interest.” The customer is seeking $1,000,000 in damages, and the case is currently pending. The complaint was regarding equities losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Siobhan Brady’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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