Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227).
Robert Mueller has spent 23 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2009. Previous registrations include Morgan Stanley & Company in Houston, Texas (2000-2009) and Goldman Sachs & Company in New York, New York (1995-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 24, 1995. He is registered with 22 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Illinois, Louisiana, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Washington, and Wisconsin.
According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one denied customer complaint.
In February 2019 a customer alleged Robert Mueller, while employed at UBS Financial Services, utilized an unsuitable options overlay strategy. The customer is seeking unspecified damages in the pending complaint.
In 2010 a customer alleged he, while employed at Morgan Stanley & Company, recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
In 2009 a customer alleged Robert Mueller, while employed at Morgan Stanley & Company, failed to follow instructions to redeem shares of a hedge fund. The complaint settled for $25,000.
In 2008 a customer alleged Robert Mueller, while employed at Morgan Stanley & Company, executed an unauthorized purchase of auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for $1,700,000.
If you or someone you know has lost money investing with Robert Mueller, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.