Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that Maine-based UBS Financial Services broker/adviser Helen Andreoli is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Andreoli (CRD# 4211137).
Helen Andreoli has spent 17 years in the securities industry and has been registered with UBS Financial Services in Portland, Maine since 2011. Previous registrations include Merrill Lynch in Portland, Maine (2006-2011) and Morgan Stanley DW in Purchase, New York (2000-2006). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on July 21, 2000; Series 7 (General Securities Representative Examination), which she obtained on August 3, 2000; Series 31 (Futures Managed Funds Examination), which she obtained on July 25, 2000; Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on June 16, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on June 16, 2003 . She is a registered broker and investment adviser with 26 US states and territories and with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange, FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received one pending customer complaint.
in December 2017 a customer alleged Helen Andreoli, while employed at UBS Financial Services, recommended unsuitable investments in an annuity and a credit line between February 2012 and May 2017. The customer is seeking $1,000,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Helen Andreoli, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.