There are options for customers of UBS Financial Services Inc. broker Frank Walter (CRD# 5685573) who suffered investment losses. He has been registered with UBS Financial Services Inc. in New York, New York, since 2015.
Frank Walter Customer Complaints
He has been the subject of two customer complaints between 2024 and 2025, according to his CRD report:
January 2025. “Time frame: January 2021 to January 2025 Allegations: Claimant alleges UBS made unsuitable recommendations and misrepresentations and did not act in his best interests in connection with claimant’s exercise of options to purchase, resulting in long positions in his employing company’s stock.” The case is currently pending. The complaint was regarding equity losses.
June 2024. “Client states that he gave instructions to purchase 10-year and 30-year treasuries but, upon later review of the accounts, could not find that the treasuries were purchased.” The case was settled for $24,000. The complaint was regarding government debt.
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 Frank Walter’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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