According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Dineen (Dineen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dineen 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 Dimitri Rassias (Rassias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rassias 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 David Eustis Jr. (Eustis Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Eustis Jr. recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Mercado (Mercado), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mercado 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 Gregory Foster (Foster), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 Marc Haggar (Haggar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Haggar 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 Marisol Colomer (Colomer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Colomer 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 Ernie Kloock (Kloock), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kloock 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 Jorge Pesquera (Pesquera), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pesquera 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 Saunders (Saunders), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders recommended unsuitable investments in different investment products including debt securities among other…