Tag Archives: Gerard Joseph Costello

Investors File Arbitration Claim Against UBS Financial

April 18, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Arbitration Claim Against UBS Financial

Gerard Joseph Costello of New York New York a stockbroker formerly registered with UBS Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested up to $100,000.00 in damages founded on allegations that there were unsuitable recommendations by Costello in regard to an options overlay strategy […]

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Investors Sue UBS Financial In Bad Options Overlay Strategy

June 23, 2020  |   Posted by :   |   Defective Option Strategies, Securities Arbitration Claims   |   Comments Off on Investors Sue UBS Financial In Bad Options Overlay Strategy

Gerard Joseph Costello of New York New York a stockbroker currently associated with UBS Financial Services has been referenced in a customer initiated investment related arbitration claim in which the customer requested $350,000.00 in damages supported by allegations that (1) misrepresentations had been made by the stockbroker concerning an options overlay strategy implemented in the […]

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Investors Accuse UBS Financial Services Of Investment Fraud

Gerard Joseph Costello of New York New York a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related complaint on December 26, 2018 in which the customer sought damages estimated to exceed $5,000.00 founded on allegations that misrepresentations had been made to the customer concerning risks of an […]

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