Last Updated: August 2025 — Cincinnati, OH
Investigation Summary: Brian Mirrielees UBS Financial Services Inc.
Here’s what you need to know about Cincinnati, OH, stockbroker Richard Brian Mirrielees:
- Name: Richard Brian Mirrielees
- CRD Number: 6103848
- Current Employer: UBS Financial Services Inc. (registered since 01/08/2019; office listed at 8044 Montgomery Road, Cincinnati, OH 45236)
- Function: Stockbroker / Financial Advisor
- Primary Location: Cincinnati, OH
- Previously Registered With: Fidelity Brokerage Services LLC (10/2012–01/2017; Covington, KY)
- Can Richard Mirrielees be sued in FINRA arbitration? Yes.
- Sanctioned by FINRA?
- Pending Customer Dispute Seeks Danages of: $3,233,690
If you’ve sustained damages from Mr. Mirrielees, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Richard Mirrielees As Your Stockbroker?
A customer of UBS Financial initiated a FINRA arbitration in May 2025 (Case No. 25-01046) alleging that the team failed to identify and escalate red-flag issues associated with financial exploitation and made trades that were not in the claimant’s best interest . The alleged damages are $3,233,690.
Allegations of Broker Misconduct Against Richard Brian Mirrielees
- Failure to identify and escalate red flags of potential financial exploitation
- Trades not in the client’s best interest
FINRA Rule 2111- suitability -Regulation Best Interest
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other UBS Financial brokers
If you have suffered investment losses in an account handled by Richard Brian Mirrielees, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.