Gerald O’Niell McGinley (also known as Gerry McGinley), of Westport, Connecticut, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim filed on March 15, 2024. The customer sought damages between $500,000.00 and $1,000,000.00 based on allegations of unsuitable recommendations and misrepresentations of material fact in connection with an options overlay strategy during the time that McGinley was associated with UBS Financial Services Inc. As of October 7, 2024, this matter is pending. FINRA Arbitration No. 24-00504.
FINRA Public Disclosure shows that McGinley was also the subject of a customer initiated investment related dispute filed on July 9, 2020. The customer alleged misrepresentation of material fact about McGinley’s recommendations to invest in and maintain an options overlay strategy starting in 2016. On March 28, 2022, this claim was denied.
McGinley has been associated with UBS Financial Services Inc. since December 2, 2015, as both a stockbroker and investment advisor representative. He was previously associated with Credit Suisse Securities (USA) LLC.
