RICHARD EDWARD RISTAU at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4409998
RICHARD EDWARD RISTAU is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at CHICAGO, IL. RICHARD RISTAU’s Central Registration Depository (CRD) number is 4409998 and the FINRA Profile can be found at –

Disclosure #1 for RICHARD RISTAU

    • Event Date: 8/6/2015
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: The client’s allege their instructions on how to invest their account were not followed. Time Frame: May 14, 2015 to August 6, 2015.
    • Settlement Amount: $7,130.00
    • Arbitration Docket Number:
    • Broker Comment: The client requested to have monies invested over the course of several months within a discretionary account program. I, inadvertently, invested the entire amount. A few months later, I identified the error and notified the client and UBS management. The firm is in the process of rectifying the matter.
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Should I file a FINRA complaint against brokers like RICHARD EDWARD RISTAU?

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 RICHARD EDWARD RISTAU’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 RICHARD EDWARD RISTAU

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Visit to read a detailed report for UBS FINANCIAL SERVICES INC.

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Yes. There are disclosures, allegations, or complaints filed against RICHARD EDWARD RISTAU. Click here to view all details

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Is it safe to do business with RICHARD EDWARD RISTAU?

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

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Originally reported on November 17, 2022 @ 9:04 pm

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