Last Updated: October 2025 — Warren, NJ
Here’s what you need to know about Warren, NJ stockbroker Jack R. Riley:
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- 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)
- CRD number: 4306836
- Stockbroker / Financial Advisor: Yes — General Securities Representative; also investment adviser representative in select states
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $900,000
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 —February 2023 (Case No. 23-00271): Customer of UBS alleged unsuitability and misrepresentation related to recommendations to invest in and hold an options overlay strategy in an in-house wrap fee program. The matter settled 04/2024 for $900,000.
- Written/Oral Complaint — September 6, 2022: Customer of UBS 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.
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
- 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
Our Investigations of other UBS Financial brokers
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.
Nationwide Representation
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.