Attention Victims of UBS Financial Services Inc. Broker Joanne Zhong

UBS Financial Services Inc.

Were you the victim of UBS Financial Services Inc. broker Joanne Zhong (CRD# 5005971)? She has been registered with UBS Financial Services Inc. in San Francisco, California, since 2015. Previously, she was registered with Credit Suisse Securities (USA) LLC in San Francisco, California, from 2009 to 2015.

Joanne Zhong Customer Complaints

She has been the subject of one customer complaint, according to her CRD report:

November 2021. “January 2016 to Mid-2019 Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.” The customer is seeking $7 million in damages, and the case is currently pending. The complaint was regarding in-house wrap fees.

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 Joanne Zhong’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.