UBS Financial complaints Archives - Rex Securities Law-BLOG

ER
November 15, 2021
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Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD

Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 15, 2021 November 15, 2021

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago, a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

ER
September 14, 2021
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William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA

William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 14, 2021 September 14, 2021

September 2021 – Los Angeles, CA According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
August 21, 2021
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David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 21, 2021 August 25, 2021

August 2021 According to publicly available records David Alan Levine (CRD#4895654) , a former stockbroker who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

Rex Securities Law
July 26, 2021
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James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 26, 2021 August 2, 2021

Coral Gables, Florida According to FINRA records, James P. Scullin , a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

Rex Securities Law
April 23, 2021
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John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2021 April 23, 2021

April 2021- New York, NY According to publicly available records, UBS Financial Services financial advisor John Loughran, discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…

Rex Securities Law
January 30, 2019
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Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2019 February 19, 2019

January 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…

Rex Securities Law
August 31, 2018
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Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2018 March 9, 2019

March 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…

Rex Securities Law
April 25, 2017
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German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 25, 2017 April 25, 2017

April 2017- San Antonio, Texas The FINRA records of German Ricardo Mora , a former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

Rex Securities Law
June 22, 2016
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Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

Birmingham, Michigan According to FINRA records, Bassam A. Salem, a stockbroker who currently works for Wunderlich Securities , discloses a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…