Andrew Fredric Perry of Margate, New Jersey, a stockbroker registered with UBS Financial Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $310,000.00 in damages based upon allegations that Perry made unsuitable recommendations and misrepresentations of material fact in connection with the sale of options when Perry was registered with UBS Financial Services Inc. FINRA Arbitration No. 19-00758 (November 19, 2022).
This is not the first time that Perry has been referenced in a customer initiated investment related dispute concerning Perry’s conduct in the securities industry. Public Disclosure shows that Perry was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $300,000.00 in damages based upon allegations that Perry made misrepresentations of material fact and unsuitable recommendations in connection with an options overlay strategy during the period that Perry was registered with UBS Financial Services Inc. FINRA Arbitration No. 19-00484 (November 17, 2020).
Perry was registered with UBS Financial Services Inc. as a securities broker and investment adviser representative until November 15, 2022. Since November 4, 2022, he has been registered with Wells Fargo Clearing Services LLC as a stockbroker and an investment adviser representative.
