There are options for clients of UBS Financial Services Inc. broker Scott Jones (CRD# 2196146). He has been registered with UBS Financial Services Inc. in Cincinnati, Ohio, since 2009.
Scott Jones Customer Complaints
He has been the subject of two customer complaints between 2001 and 2025, according to his CRD report:
May 2025. “Time frame: 2016 to 2021 Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.” The customer is seeking $3,233,690 in damages, and the case is currently pending. The complaint was regarding a brokerage account trust.
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 Scott Jones’ 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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