Erez Law is currently investigating UBS Financial Services Inc. broker Steven Delsesto (CRD# 1228938) regarding unauthorized trades. He has been registered with UBS Financial Services Inc. in Providence, Rhode Island, from 1995 to 2024.
Steven Delsesto Customer Complaints
He has been the subject of two customer complaints between 2006 and 2026, one of which was withdrawn, according to his CRD report:
February 2026. “Time Frame: January 3, 2005 to December 30, 2005 The client reopens his complaint and alleges his Financial Advisor defrauded his accounts to enrich himself. The client further alleges forgery, unauthorized purchases, and commingling with his accounts.” The case is currently pending.
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 Steven Delsesto’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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