Financial Advisor Fraud

Ricardo Uliambre, a former Financial Advisor at UBS Financial Services Inc., is currently facing allegations of misappropriating client funds. According to a pending customer dispute filed on February 5, 2024, a client alleges that she loaned Uliambre $25,000 four years ago and has not recovered her money. The alleged misconduct occurred between March 4, 2019, […]

Brian Maners, a registered representative with OSAIC Institutions, Inc., is currently facing allegations of representative error on paperwork, causing a delay in transferring assets and subjecting his client’s accounts to market losses. The customer dispute, filed on February 5, 2024, is currently pending resolution and involves fixed annuities and mutual funds. According to the disclosure

In a recent development, a customer dispute has been filed against Celia Scott, a broker and investment advisor associated with LPL Financial LLC (CRD 6413) in Texas. The complaint, dated February 5, 2024, alleges misrepresentation of an annuity income benefit. The customer’s claim for damages was denied by the firm, stating that the complaint was

Lacey Neuman, a broker associated with NYLIFE Securities LLC, is currently facing allegations of misconduct related to the recommendation of replacing a client’s surrender charge-free variable annuity with two fixed annuities in May 2023. The customer alleges that this recommendation resulted in a new surrender charge schedule and additional fees. Customer seeks rescission and restoration