Robert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…
read moreKirk Badii Investigation May 2022-Southlake, TX The FINRA records of Kirk Badii, a stockbroker who previously worked for UBS Financial Services , disclose a pending customer dispute and 2 terminations from employment. The Financial…
read moreAugust 2021 – Lincoln, NE According to publicly available records of Jason M. Dworak , a broker employed with UBS Financial in Lincoln, NE, discloses a million dollar award to a…
read moreAugust 2021 – Dallas, TX According to publicly available records of Matthew E. Lasko , a broker employed with UBS Financial in Dallas, discloses a pending customer dispute. The Financial…
read moreCoral 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…
read moreApril 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…
read moreApril 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney discloses 4 settled customer disputes and 1…
read moreJanuary 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…
read moreJANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…
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