According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Kort (Kort), previously associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kort recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Sullivan (Sullivan), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shailesh Negandhi (Negandhi), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one regulatory event, alleging that Negandhi recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Fernandez (Fernandez), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Klein (Klein), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Klein recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dicolo (Dicolo), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dicolo recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan s Reisfield (Reisfield), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reisfield recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mauricio Alvarez (Alvarez), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dorney (Dorney), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dorney recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Landivar (Landivar), currently associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Landivar recommended unsuitable investments in different investment products including debt securities among other…