Tag Archives: Scott Michael Rosenberg.

Investors Sue UBS Financial For Defective Investment Advice

April 18, 2020  |   Posted by :   |   Defective Option Strategies, Investment and Regulatory News, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue UBS Financial For Defective Investment Advice

Scott Michael Rosenberg of New York New York a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,200,000.00 in damages based upon accusations that (1) the customer was provided with unsuitable investment recommendations between 2016 and 2020 concerning the […]

Read More »

UBS Financial Sued For Defective Options Strategy

Scott Michael Rosenberg of New York New York a stockbroker currently registered with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $400,000.00 in damages supported by accusations that (1) unfounded statements had been made concerning the terms and conditions of an options overlay strategy […]

Read More »