Last Updated: September 2025 — Warren, NJ
Here’s what you need to know about Warren, NJ stockbroker Jack R. Riley:
- Name: Jack Ryan Riley
- Current Employer: UBS Financial Services Inc., 184 Liberty Corner Rd., Suite 101, Warren, NJ 07059 (registered since 08/16/2013)
- Prior Firms: Morgan Stanley (06/2009–09/2013); Citigroup Global Markets Inc. (03/2001–06/2009; IA 04/2004–06/2009)
- Other Business Affiliations: None reported
- CRD number: 4306836
- Stockbroker / Financial Advisor: Yes — General Securities Representative; also investment adviser representative in select states
- Can Broker be Sued in FINRA: Yes (FINRA arbitration is available to customers)
- Sanctioned by Securities Regulators: No regulatory sanctions disclosed; disclosure events are customer disputes (2)
- Highest Award of Settlement: $900,000 (FINRA Arbitration settlement dated 04/23/2024)
If you’ve sustained damages from Mr. Riley, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jack R. Riley As Your Stockbroker?
- FINRA Arbitration — Filed February 2023 (Case No. 23-00271): Claimants’ counsel alleged unsuitability and misrepresentation related to recommendations to invest in and hold an options overlay strategy in an in-house wrap fee program. The Statement of Claim alleged damages in excess of $1,450,000. The matter settled on 04/23/2024 for $900,000; Mr. Riley’s individual contribution reported as $0. Employing firm: UBS Financial Services Inc.
- Written/Oral Complaint — Received September 6, 2022: Customer alleged the Financial Advisor failed to follow instructions to liquidate securities in a managed/wrap account (outside money manager) during Aug. 22–31, 2022. The matter settled on 09/27/2022 for $40,510; individual contribution $0. Employing firm: UBS Financial Services Inc.
Allegations of Broker Misconduct Against Jack Ryan Riley
- Unsuitability — recommending or maintaining an options overlay strategy inconsistent with a customer’s profile may violate FINRA Rule 2111 (Suitability) and, for retail customers, the SEC’s Regulation Best Interest (Exchange Act Rule 15l-1) care obligation.
- Misrepresentation / Omission of Material Facts (Fraud-type conduct) — deceptive statements or omissions are prohibited under FINRA Rule 2020 and must comport with FINRA Rule 2010 standards of commercial honor.
- Failure to Follow Client Instructions — ignoring explicit liquidation instructions can breach duties owed to the customer and violate FINRA Rule 2010; depending on the facts, Reg BI’s care and compliance obligations may also be implicated.
Recover Your Investment Losses Now With Rex Securities Law
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If you have suffered investment losses in an account handled by Jack Ryan Riley, 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.