Who Is James A Chin Sr. of UBS Financial Services? A 31-Year Industry Profile
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For over three decades, James A Chin Sr. was a registered broker and investment adviser, most recently with UBS Financial Services Inc. in White Plains, New York. His career spanned positions at some of the largest broker-dealer firms in the nation—including Lehman Brothers and Merrill Lynch, in addition to UBS.
From 1987 to 2019, James Chin Sr. worked closely with clients in the investment and financial services sector, helping manage portfolios and offering guidance on securities transactions.
- UBS Financial Services Inc. – White Plains, NY (2008 to 2019)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated – White Plains, NY (1992 to 2008)
- Lehman Brothers Inc. – New York, NY (1987 to 1992)
If James Chin Sr. was your advisor, it is important to be informed about both his background and any potential risk factors related to his practice.
Red Flags: Customer Complaints and Disclosures
Understanding a financial advisor’s disclosure history is essential for investors seeking to protect themselves against losses, unsuitable recommendations, and other potential problems. Every complaint—no matter the outcome—should be reviewed carefully to help investors make informed decisions going forward.
James A Chin Sr. has two settled customer complaints on file. Here is a detailed breakdown of each matter:
| Disclosure Date | Allegations | Damages Requested | Settlement Amount | Status | Key Details |
|---|---|---|---|---|---|
| November 1, 2024 | Clients claimed their account, used to secure a line of credit, was unsuitably invested in equities from 2008 to 2022. They also alleged that the overall investment strategy was not in their “Best Interest.” | $1,000,000 | $50,000 | Settled |
|
| April 21, 2009 | Alleged unsuitable investment recommendations. | $90,761 | $40,000 | Settled |
|
Total damages requested by customers exceeded $1 million. The total settlements paid were $90,000 across both disputes. While settlements do not necessarily equate to wrongdoing, they are critical events that investors should be aware of when evaluating ongoing account concerns.
Regulatory History, BrokerCheck, and Current Status
No regulatory actions are recorded against James A Chin Sr. on his BrokerCheck report. His registrations as a broker and investment adviser are both listed as expired: he has not been registered with any broker-dealer or investment adviser since April 2019, according to public records. For a comprehensive review of his public background, visit his FINRA BrokerCheck profile.
Lessons for Investors: How to Evaluate Red Flags
Choosing a financial advisor is one of your most important decisions. Even experienced advisors can have complaints or resolved disputes—however, it’s crucial to understand the context, frequency, and outcomes of these events. The following are practical steps every client should take:
- Review the specifics of any settlements. Not all settlements are admissions of fault, but they may point to past challenges with client outcomes or portfolio oversight.
- Note the duration and overlap of allegations. The most recent case against James Chin Sr. spanned 14 years, highlighting the importance of long-term monitoring.
- Consider the total impact. While two disputes are relatively few over a 31-year career, large damage requests and settlements may still warrant a closer look—especially for investors managing large or leveraged accounts.
- Do not rely on verbal representations alone. Get a comprehensive review of your investments and how they were managed.
Haselkorn & Thibaut: Free Review and Investigation
Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of experience, 98% success rate, and millions recovered for investors, is currently investigating James A Chin Sr. and related account concerns at UBS Financial Services in White Plains, NY. They offer a free, confidential consultation to review your historical account activity, explain your options, and help pursue recovery if you suffered losses due to unsuitable investment recommendations or failed supervision.
You pay nothing unless they recover money for you – their services are offered on a contingency, no-recovery, no-fee basis.
What Should You Do If You Were a Client?
- Request a free case evaluation from Haselkorn & Thibaut to discuss your account and investments.
- Gather all documentation, statements, and correspondence related to your account with James A Chin Sr. or UBS Financial Services.
- Do not hesitate—key deadlines can limit your ability to recover your losses.
Contact Haselkorn & Thibaut now at 1-888-885-7162 for your no-obligation consultation and protect your rights as an investor.
The Bottom Line: Stay Informed and Protect Your Investments
The case of James A Chin Sr.—a long-tenured advisor formerly with UBS Financial Services Inc. in White Plains, NY—underscores the need for vigilance and support. While his record includes two settled client disputes, the details raise legitimate questions requiring professional review.
Haselkorn & Thibaut’s ongoing investigation is an opportunity for investors to better understand their situations, get answers, and pursue possible restitution for losses. If you are concerned or have questions, reaching out for a free consultation is a prudent next step.
