Were you the victim of UBS Financial Services Inc. broker Gerald McGinley (CRD# 1811084)? He has been registered with UBS Financial Services Inc. in New York, New York, since 2015.
Gerald McGinley Customer Complaints
He has been the subject of two customer complaints between 2020 and 2024, according to his CRD report:
March 2024. “Time frame: January 2018 – Present Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.” The case is currently pending. The complaint was regarding in-house wrap fees.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Gerald McGinley’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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