UBS Financial Services Inc. Broker Mitchell Riesenberger YES Investment Losses

UBS Financial Services Inc.

Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Mitchell Riesenberger (CRD# 2990475) and the firm’s Yield Enhancement Strategy (YES). He has been registered with UBS Financial Services Inc. in Boston, Massachusetts, since 2015. 

Mitchell Riesenberger Customer Complaints

He has been the subject of one customer complaint in 2022, according to his CRD report:

August 2022. “Time frame: Starting in or about 2015 Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.” The customer is seeking $620,000 in damages, and the case is currently pending. The complaint was related to 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 Mitchell Riesenberger’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.