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Investor Alleges Sam Giliberti Failed to Manage Her Account

Sam Giliberti (CRD #: 2660405), a broker registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on July 2, 2022. If you want to know more about Sam Giliberti’s conduct as a broker, read on.

Investor Dispute

On April 6, 2022, an investor alleged that during a period from 2012 to 2022, UBS Financial Services misrepresented the returns on her investments and management fees charged to her account. She further alleges that Sam Giliberti did not manage her account well.

The investor seeks $95,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise unethical means of influencing investors’ decisions. This includes misrepresenting or omitting information concerning an investment’s fees, returns, or risks.

Background Information

Sam Giliberti has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Sam Giliberti is a registered broker in 28 states and the District of Columbia. He is also a registered investment adviser in New York.

He has also worked for the following firms:

  • Morgan Stanley & Company (CRD#:8209)
  • Morgan Stanley DW (CRD#:7556)
  • Pruco Securities (CRD#:5685)

Kurta Law Can Help

If you worked with Sam Giliberti 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 and 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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