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Henry Sabotka Faces Allegation of Unauthorized Trading and Elder Financial Abuse

Henry Sobotka (CRD #: 2108932), a broker registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on September 29, 2021. Investors who have concerns about Henry Sobotka’s conduct as a broker should keep reading.

On July 8, 2021, an investor alleged that Henry Sobotka engaged in unauthorized trading. The client further alleges that UBS mis-designated her risk profile as moderate when it should have been conservative, given her age. According to FINRA Rule 2111, age is one of the factors brokers should take into account when they recommend an investment. Brokers should also factor in the investor’s financial goals and overall risk tolerance.

The investor’s attorney alleges that she is an elderly, vulnerable investor, which would suggest that Henry Sobotka may have engaged in financial elder abuse. Most alarmingly, the investor alleges that UBS permitted unauthorized individuals to steal from her account.

Henry Sobotka Background Information

Henry Sobotka has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 3 National Commodity Futures Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 25 states and is a registered investment adviser in New Jersey and Texas.

Henry Sobotka has worked 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 Henry Sobotka and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email