Advisor Alert: Our Attorneys Are Investigating Dorothy Decarlo For Investment Fraud

Did You Lose Money Because of Dorothy Decarlo?

Filed: March 15, 2024

Dorothy Decarlo (also known as  Dorothy Elizabeth Decarlo, Dorothy Elizabeth Reifenheiser) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Dorothy Decarlo.

Who Is Dorothy Decarlo of UBS Financial Services Inc.?

  • Advisor Name: Dorothy Decarlo
  • Aliases: Dorothy Elizabeth Decarlo, Dorothy Elizabeth Reifenheiser
  • CRD: 4979403
  • Location: New York, New York
  • Current Employer: UBS Financial Services Inc.
  • Previous Firms: Credit Suisse Securities (USA) LLC
  • Number of Known Customer Complaints: 1
  • Can Dorothy Decarlo Be Sued: Yes, in Private Arbitration
  • Can Dorothy Decarlo’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
  • Highest Damages Allegation: $500,000
  • Highest Settlement: Unknown

If you have suffered investment losses by Dorothy Decarlo, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Dorothy Decarlo For Broker Misconduct

As of this publication date, Dorothy Decarlo has been the subject of 1 customer dispute. Let’s review it below.

In December 2022, a FINRA arbitration was filed against or in reference to Dorothy Decarlo by a customer of UBS Financial Services Inc. alleging unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Per the customer, he/she lost over $500,000 because of Ms. Decarlo’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Dorothy Decarlo of UBS Financial Services Inc. (previously with Credit Suisse Securities (USA) LLC) To Get Your Money Back

If you have questions about Dorothy Decarlo, UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.