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Financial advisor Michaelangelo Dooley of Coral Gables, Florida is currently involved in a legal dispute with a customer who alleges “unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.” Mr. Dooley is currently…
Stockbroker Matthew Lasko of UBS Financial Services in Dallas, Texas is involved in a legal dispute with a customer who alleges that Lasko recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The customer is seeking damages of $500,000. UBS’ “yield enhancement strategy” was sold to investors as a safe,…
Stockbroker Jason Dworak of UBS Financial Services in Lincoln, Nebraska is involved in legal disputes with customers who allege that Dworak recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The aggregate damages being sought by the customers exceeds $2 million. UBS’ “yield enhancement strategy” was sold to investors as a…
Stockbroker Henry Goodman of UBS Financial Services in New York, New York is involved in a legal dispute with a customer who alleges that Goodman recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The customer is seeking damages of $6 million. UBS’ “yield enhancement strategy” was sold to investors…