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Harold Elish Allegedly Made Misrepresentations

By: kurtablogs Author
December 2, 2025 at 3:31am

Harold Elish (CRD #: 1072360), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 1, 2025. Keep reading if you have questions.

Investor Allegations

On July 29, 2025, an investor alleged that Harold Elish misrepresented that she would not be charged fees on her cash holdings, money markets, and treasuries.

Misrepresentation

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s potential returns, risks, fees, or limitations.

Background Information

Harold Elish has passed the following exams:

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

He has registered with the following firms:

  • UBS Financial Services (CRD #: 8174)
  • CitiGroup Global Markets (CRD #: 7059)
  • Lehman Brothers (CRD #: 7506)

Kurta Law Can Help

If you worked with Harold Elish 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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