Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Florida-based UBS Financial Services broker/adviser Bradley Ross has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to 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 Jersey (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). He is a broker and investment adviser registered in 26 US states and territories.
According to his BrokerCheck report, Bradley Ross has received four customer complaints and two pending customer complaints.
In May 2016, a customer alleged Bradley Ross, while employed at UBS Financial Services, executed unauthorized trades and over-concentrated investments. The customer is seeking $99,000 in damages in the pending complaint.
In April 2015, a customer alleged Bradley Ross, while employed at UBS Financial Services, refused to follow instructions, effected unauthorized transactions, breached his fiduciary duty, and made unsuitable investment recommendations. The complaint settled in December 2015 for $35,000.
In February 2015, a customer alleged Bradley Ross, while employed at UBS Financial Services, recommended unsuitable investments and over-concentrated the account. The complaint settled in January 2016 for $160,000.
In 2014, a customer alleged Bradley Ross, while employed at UBS Financial Services, over-concentrated investments in precious metals products. The customer is seeking $1,057,225 in damages in the pending complaint.
In 1999, a customer alleged Bradley Ross, while employed at Gruntal & Company, delayed the conversion of 3,000 warrants, causing a missed opportunity for higher profits. The complaint settled in 2000 for $15,000.
In 1999, a customer alleged Bradley Ross, while employed at Coburn & Meredith, mismanaged her account and made unsuitable investment recommendations. The complaint settled in 2001 for $5,999.
If you or someone you know has lost money investing with Bradley Ross, call the securities and investment fraud law firm 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, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.