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Investor Alleges Antonio Oliveira Failed to Follow Investment Instructions

Antonio Oliveira (CRD #: 3043453), a broker registered with UBS Financial Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on April 9, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On February 3, 2025, an investor filed a dispute alleging that Antonio Oliveira failed to follow instructions to invest certain funds in a 529 plan. The client further alleged that his retirement funds had not been invested in several years despite his instructions. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Antonio Oliveira has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • Futures Managed Funds Examination – Series 31
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Antonio Oliveira is a registered broker in 30 states and a registered investment adviser in Florida, Rhode Island, and Texas.

He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and Morgan Stanley (CRD#:7556).

Kurta Law Can Help

If you worked with Antonio Oliveira and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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