Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into the activities of Robert Andrew Dunn (CRD #2753628), an advisor currently registered with UBS Financial Services Inc. Our attorneys understand how unsettling it can feel to learn of a broker’s disputed conduct—especially when your retirement or life savings are involved. We are leveraging our insider experience as former Wall Street defense counsel to aggressively pursue investor recovery, and we invite you to reach out for a confidential, no-cost consultation if you have any concerns about investments handled by Robert Dunn in New York, NY, or elsewhere.
For convenient reference, you may review Robert Dunn’s BrokerCheck profile here.
Summary of Complaints and Dispute Disclosures
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Robert Andrew Dunn’s regulatory record reflects several investor red flags based on public disclosures up to June 2024. Our firm has carefully analyzed the available records and provides the following comprehensive summary of complaints and dispute activity against this advisor:
| Type | Details |
|---|---|
| Customer Disputes / Claims |
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| Regulatory Actions |
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| SEC/Other Actions |
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Our attorneys emphasize the importance of reviewing all customer complaints and resolution outcomes when evaluating an advisor’s trustworthiness and regulatory history, especially in matters involving alleged unsuitable investments, unauthorized risk changes, and communication failures.
Why These Complaints Matter: Understanding Suitability and Disclosure Rules
At the heart of both disputes are two critical FINRA rules every investor should know:
- FINRA Rule 2111 (Suitability): Requires a reasonable basis for all investment recommendations. Brokers must tailor advice to your unique investment goals and risk tolerance. Unexplained or unauthorized moves into higher-risk products can indicate serious compliance failures.
- FINRA Rule 2090 (Know Your Customer): Requires diligent effort to understand each customer’s financial situation, objectives, and the level of authority anyone acting for you may have. If you feel your wishes were ignored, or that important account changes weren’t explained, this rule could be central to your claim.
Additionally, Regulation Best Interest (“Reg BI”) now imposes a higher, investor-centered standard. It obligates broker-dealers like UBS Financial Services Inc. to put your interests first, openly disclose all material facts and conflicts, and exercise substantial care in all recommendations. Evidence that your advisor failed to communicate risks or recommend suitable products could strengthen a claim for recovery of your losses.
Background: Robert Andrew Dunn (UBS Financial Services Inc., New York, NY)
According to public records:
- Currently registered with UBS Financial Services Inc. in New York, NY.
- Passed the Securities Industry Essentials (SIE), Series 7, Series 3, and Series 66 exams.
- Previously registered with Morgan Stanley & Co. Incorporated.
- No reported bankruptcies, liens, or regulatory bars at this time.
Red Flags and Investor Risk Considerations
While one or two customer disputes do not alone establish misconduct, our experience as former Wall Street defense counsel gives unique insight into the warning signs that often precede more significant losses or patterns of unsuitable activity. The following risk factors should prompt heightened vigilance:
- Allegations of unauthorized or unexplained trading
- Frequent turnover of investments or large unexplained account transfers
- Significant losses in high-risk or obscure products without clear disclosure or documentation
- Communication gaps: Failure to timely inform clients of margin calls, risk increases, or account changes
If you see similar patterns in your own account, or if you relied on Robert Dunn for investment guidance, immediate legal review is warranted to explore your options for recovery.
Your Next Steps: How We Help You Recover Losses
At our firm, your recovery is our mission. With a 98% success rate across hundreds of resolved investor claims, 95+ years of combined experience in securities law, and over $520 million at issue in securities arbitration and litigation, we have helped countless individuals, retirees, and families secure their assets and move forward with confidence. Our team is Martindale-Hubbell AV Preeminent-rated (Top 2%), Super Lawyers-designated, and known for 5.0-star client service. Best of all—you only pay if we recover your funds (“No recovery, no fee”).
- We carefully investigate and analyze your claim at no cost or obligation.
- We use insider knowledge of brokerage compliance and defense strategies to fight for your maximum recovery.
- We aggressively advocate for victims of investment fraud, unsuitable recommendations, unauthorized trading, or failure to disclose risks.
Recovering losses from a major broker-dealer like UBS Financial Services Inc. requires deep experience and proven insider strategies. Trust our former Wall Street defense counsel to guide you step by step.
Contact Us for a Free, Confidential Consultation
If you invested with Robert Andrew Dunn or UBS Financial Services Inc. in New York, NY—or have any concern about investment losses, unauthorized trades, or unsuitable recommendations—call us today at 1-888-885-7162 for a comprehensive, no-cost legal review. The consultation is free, confidential, and could be an essential step toward recovering your funds and protecting your financial future.
Let our experience, insight, and relentless advocacy go to work for you.
