<![CDATA[UBS Financial Services - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/ubs-financial-services/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[Complaints Against MARK ELIAS of UBS Financial in Houston, TX]]> https://www.israelsneuman.com/blog/complaints-against-mark-elias-ubs-financial-houston/ https://www.israelsneuman.com/blog/complaints-against-mark-elias-ubs-financial-houston/ Sun, 16 Apr 2023 19:01:18 GMT Mark Elias, with UBS Financial Services, Subject of Customer Complaints HOUSTON, TEXAS Did you lose money with advisor Mark Elias, of UBS Financial Services in Houston, Texas? Elias has been the subject of four customer complaints since 2019, including two that are pending. A review of his BrokerCheck report reveals that the two pending cases…

]]> Mark Elias, with UBS Financial Services, Subject of Customer Complaints

HOUSTON, TEXAS

Did you lose money with advisor Mark Elias, of UBS Financial Services in Houston, Texas? Elias has been the subject of four customer complaints since 2019, including two that are pending.

A review of his BrokerCheck report reveals that the two pending cases both involve the use of YES – yield enhancement strategy. UBS’ YES was supposed to use an options overlay strategy to generate returns and lower risk, but instead, the strategy caused significant losses.

Mark Steven Elias has been with UBS Financial Services since 2003. He works in a Houston, Texas office.

FINRA Rule 2111 provides that brokerage firms and advisors must provide suitable investment recommendations to customers. Failures to abide by Rule 2111 could subject the firm or advisor to compensatory damages.

We represent clients all over the country, including investors in Texas. We have recovered millions of dollars for investors against numerous firms, including UBS.

View Elias, m BrokerCheck 4.16.23

If you lost money with Mark Elias or UBS Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[Warning: RODNEY WASHINGTON of UBS Financial is BARRED – Ohio]]> https://www.israelsneuman.com/blog/rodney-washington-ubs-barred-ohio/ https://www.israelsneuman.com/blog/rodney-washington-ubs-barred-ohio/ Mon, 13 Dec 2021 21:45:59 GMT NEW ALBANY, OHIO Have you lost money with financial advisor Rodney Washington, formerly with UBS Financial Services, in New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rodney D. Washington. FINRA barred Washington from the securities industry after he failed to respond to a FINRA investigation. FINRA was…

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Have you lost money with financial advisor Rodney Washington, formerly with UBS Financial Services, in New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rodney D. Washington. FINRA barred Washington from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Washington for allegations that he engaged in undisclosed outside business activities.

Rodney Washington was a financial advisor and registered representative of UBS Financial Services from 1994 to April 2021. He worked at a branch office in New Albany, Ohio. Washington has also been the subject of three customer complaints and a 2018 bankruptcy.

Brokerage firms like UBS Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including UBS Financial Services.

Click HERE to view Washington, R BrokerCheck Report

Click HERE to view Washington FINRA AWC

If you lost money with Rodney Washington or UBS Financial Services, please Contact Us at 720-599-3505 for a free evaluation of your case.

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