Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that New York-based UBS Financial Services broker/adviser Nancy Glassman has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Glassman (CRD# 1734992).
Nancy Glassman has spent 26 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 1994. Previous registrations include Austin Securities in Forest Hills, New York (1991-1994); Gruntal & Company in New York, New York (1992-1994); Wood-Pomerantz Securities (1989-1990); WJ Nolan & Company (1989); and Investors Center (1988-1989). She is a registered broker and investment adviser with 29 US states and territories, including Connecticut, Delaware, the District of Columbia, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, Vermont, Virginia, Washington, and Texas.
According to her BrokerCheck report, Nancy Glassman has been the subject of two customer complaints.
In 2009, a customer alleged Nancy Glassman, while employed at UBS Financial Services, misrepresented and recommended unsuitable Lehman structured product issues. The complaint settled in 2010 for $21,500.
In 2000, a customer alleged that Nancy Glassman, while employed at UBS PaineWebber, recommended unsuitable investments in a Federated International Small Company Fund and a Munder NetNet Fund. The complaint settled in 2001 for $30,625.
If you have lost money investing with Nancy Glassman, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.