Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Florida-based UBS Financial Services broker/adviser Bradley Ross is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ross (CRD# 1325524).
Bradley Ross has spent 31 years in the securities industry and has been registered with UBS Financial Services in Fort Lauderdale, Florida since 2011. Previous registrations include Raymond James & Associates in Fort Lauderdale (2006-2011); Janney Montgomery Scott in Fort Lauderdale (1999-2006); Gruntal & Company in New York, New York (1997-1999); Coburn & Meredith in Simsbury, Connecticut (1995-1997); First Montauk Securities in Red Bank, New Jersey (1995); Meridian, Dunhill & Company (1994-1995); Dunhill Equities in Garden City, New York (1992-1994); Prudential Securities in New York, New York (1990-1992); Legg Mason Wood Walker in Baltimore, Maryland (1989-1990); and Dean Witter Reynolds (1985-1990). Mr. Ross is a broker and investment adviser registered in 26 US states and territories.
According to his BrokerCheck report, Bradley Ross is the subject of four customer complaints and one pending customer complaint.
In April 2015, a customer alleged that Bradley Ross, while employed at UBS Financial Services, refused to follow directives, breached his fiduciary duty, executed unauthorized trades, and sold unsuitable investments. The complaint settled in December 2015 for $35,000.
In February 2015, a customer alleged that Bradley Ross, while employed at UBS Financial Services, recommended unsuitable and overconcentrated investments. The complaint settled in January 2016 for $160,000.
In 2014, a customer alleged that Bradley Ross, while employed at UBS Financial Services, recommended overconcentration in precious metal investments. The customer is seeking $1,057,225 in damages in the pending complaint.
In 1999, a customer alleged that Bradley Ross, while employed at Gruntal & Company, delayed the conversion of 3,000 warrants, resulting in a missed opportunity for higher profits. The complaint settled in 2000 for $15,000.
In 1999, a customer alleged that Bradley Ross, while employed at Coburn & Meredith, mismanaged her account and recommended unsuitable investments. The complaint settled in 2001 for $5,999.
If you have lost money investing with Bradley Ross, you may be eligible to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency; Fitapelli Kurta only gets paid if and when you collect money. By law, there is a limited window to file claims, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.