Stuart Edward Sierer (CRD#423614) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Stuart Edward Sierer (CRD#423614) regarding allegations made regarding the following:

Claim(s) Made Against Stuart Edward Sierer:

Claim Date: 3/18/2020

“Time Frame: April 27, 2018 to March 18, 2018 What were the allegations against the individual? . The client alleges unauthorized trading.”

This claim, as of this posting, is currently Settled with a claim amount of $20,000.00 .

The investor was paid $15,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Stuart Edward Sierer.

Have an issue with Stuart Edward Sierer?

If you are a former client of Stuart Edward Sierer and UBS FINANCIAL SERVICES INC. from SEATTLE, WA, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Stuart Edward Sierer, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of Stuart Edward Sierer and UBS FINANCIAL SERVICES INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.