According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Darlington (Darlington), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Darlington 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 Federico Lopez juarbe (Lopez juarbe), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lopez juarbe recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Longstreet (Longstreet), previously associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Longstreet recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Kichler (Kichler), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kichler 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 William Avery (Avery), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Avery 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 John Sommo (Sommo), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sommo 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 Wendy Holmes (Holmes), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 Eric Wittenberg (Wittenberg), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wittenberg 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 Ira Walker (Walker), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Walker recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Hamish Grason (Grason) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Grason was employed by UBS Financial Services…