According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wesner (Wesner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesner 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 Roderick Von Lipsey (Von Lipsey), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Von Lipsey recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Anderson (Anderson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 Maria Gasparro (Gasparro) 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 Gasparro was employed by UBS Financial Services…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Mrozowski (Mrozowski), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mrozowski 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 Sonia Attkiss (Attkiss), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Attkiss 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 Charles Kaufmann (Kaufmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kaufmann recommended unsuitable investments in different investment products including debt securities among other…