Nicholas Finn: Options Overlay Complaint Against UBS Rep
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2019 indicate that New York-based UBS Financial Services broker/adviser Nicholas Finn has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Finn (CRD# 2295090).
Nicholas Finn has spent 26 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2015. Previous registrations include Credit Suisse Securities in New York, New York (2008-2015); Lehman Brothers in New York, New York (1998-2008); Fiduciary Financial Services in San Mateo, California (1997-1998); and Sanford C. Bernstein & Company in New York, New York (1993-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 28, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on October 2, 1998; and Series 7 (General Securities Representative Examination), which he obtained on December 22, 1992. He is a registered broker and investment adviser with 21 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In May 2019 a customer alleged Nicholas Finn, while employed at UBS Financial Services, misrepresented and recommended an unsuitable investment in an options overlay strategy. The customer is seeking unspecified damages in the pending complaint.
In 2004 a customer alleged Nicholas Finn, while employed at Lehman Brothers, provided unsuitable advice concerning common and preferred stock products. The complaint settled for $35,000.
If you or someone you know has lost money investing with Nicholas Finn, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.