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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Cooperman (Cooperman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cooperman 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 Terry Dean (Dean), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dean 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 Matthew Reimann (Reimann), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reimann 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 Klaasen (Klaasen), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Klaasen 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 Dean J Meniktas (Meniktas), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Meniktas recommended unsuitable investments in different investment products including debt securities among…