Tag Archives: Scott Michael Rosenberg.

Investors File Securities Arbitration Claim Against UBS

June 12, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Investors File Securities Arbitration Claim Against UBS

Scott Michael Rosenberg of New York New York a stockbroker formerly registered with UBS Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by allegations that Rosenberg made misrepresentations to the customer regarding buying and holding into an options overlay strategy between […]

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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 […]

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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 […]

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