ROY MATHEW at UBS SECURITIES LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5368351
ROY MATHEW is an Investment Adviser, associated with UBS SECURITIES LLC located at STAMFORD, CT. ROY MATHEW’s Central Registration Depository (CRD) number is 5368351 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for ROY MATHEW

    • Event Date: 5/3/2003
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: DWI
    • Disposition: Convicted
    • Broker Comment: This was a conviction for Driving While Intoxicated. It helped me to learn a valuable lesson and change my life. I have not had any incidents since that time over 13 years ago and have had a very successful career and family life since that time.
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Should I file a FINRA complaint against brokers like ROY MATHEW?

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 ROY MATHEW’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 ROY MATHEW

What is ROY MATHEW's Central Registration Depository (CRD) Number?

5368351

Which firm is ROY MATHEW associated with?

UBS SECURITIES LLC

Where is ROY MATHEW located?

600 WASHINGTON BLVD- STM, STAMFORD, CT, 6901

Where can I find more details about ROY MATHEW's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/7654 to read a detailed report for UBS SECURITIES LLC

Are there any disclosures, allegations or complaints filed against ROY MATHEW?

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

Where can I download a detailed FINRA report for ROY MATHEW?

Click here to download a detailed FINRA report for ROY MATHEW

Is it safe to do business with ROY MATHEW?

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

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

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