ALEXANDER LJUBIMOW at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4872860
ALEXANDER LJUBIMOW is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at CARMEL, CA. ALEXANDER LJUBIMOW’s Central Registration Depository (CRD) number is 4872860 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for ALEXANDER LJUBIMOW

    • Event Date: 8/20/2009
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: CLAIMANTS ALLEGE BREACH OF FIDUCIARY DUTY, NEGLIGENCE, BREACH OF CONTRACT, FRAUDULENT MISREPRESENTATION AND OMISSIONS IN CONNECTION WITH THE PURCHASES OF LEHMAN BROTHERS PRINCIPAL PROTECTION NOTES AND LEHMAN BROTHERS RETURN OPTIMIZATION SECURITIES. TIME FRAME 1/08 – 6/08
    • Damage Amount Requested: $245,000.00
    • Settlement Amount: $100,000.00
    • Arbitration Docket Number:
    • Broker Comment: IN THE FOREGOING ARBITRATION, WHICH WAS SETTLED AT MEDIATION, THIS SETTLEMENT DOES NOT REFLECT ANY ACKNOWLEDGEMENT OR ADMISSION OF ANY LIABILITY OR MISCONDUCT ON MY PART WHATSOEVER. FURTHERMORE UBS, WHICH DENIED ALL OF THE CLAIMS ASSERTED BY THE CUSTOMER, DID NOT ACKNOWLEDGE OR ADMIT ANY LIABILITY OR WRONGDOING AND RESOLVED THIS ISSUE STRICTLY TO AVOID THE POTENTIAL COST AND UNCERTAINTIES OF THE ARBITRATION FORUM. I DID NOT, NOR WAS I ASKED TO PERSONALLY CONTRIBUTE ANY AMOUNT TOWARDS THE SETTLEMENT OF THIS CASE. IT IS ALSO IMPORTANT TO NOTE THAT ON JANUARY 4, 2011, THE CLIENT WROTE A LETTER IN WHICH THEY SPECIFICALLY STATED THEY DID NOT HOLD ME RESPONSIBLE. THE CLIENT SAID, \I WOULD LIKE TO POINT OUT THAT OUR COMPLAINT ABOUT THE FAILURE OF THE LEHMAN BROTHERS NOTES …..WAS BASED ON THE FAILURE OF THE PRODUCT OF UBS AND HAS NOTHING TO DO WITH THE SALES PRACTICES BY MR. LJUBIRNOW, OUR FINANCIAL ADVISOR. WE ALWAYS APPRECIATED HIS HARD WORK AND ENJOYED OUR BUSINESS RELATIONSHIP WITH HIM.\


Should I file a FINRA complaint against brokers like ALEXANDER LJUBIMOW?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by ALEXANDER LJUBIMOW’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About ALEXANDER LJUBIMOW

What is ALEXANDER LJUBIMOW's Central Registration Depository (CRD) Number?

4872860

Which firm is ALEXANDER LJUBIMOW associated with?

UBS FINANCIAL SERVICES INC.

Where is ALEXANDER LJUBIMOW located?

200 CLOCK TOWER PLACE, CARMEL, CA, 93923

Where can I find more details about ALEXANDER LJUBIMOW's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/8174 to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against ALEXANDER LJUBIMOW?

Yes. There are disclosures, allegations, or complaints filed against ALEXANDER LJUBIMOW. Click here to view all details

Where can I download a detailed FINRA report for ALEXANDER LJUBIMOW?

Click here to download a detailed FINRA report for ALEXANDER LJUBIMOW

Is it safe to do business with ALEXANDER LJUBIMOW?

We’re not sure. Please research ALEXANDER LJUBIMOW’s disclosures, allegations and complaints before taking a decision


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