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 moreRoderick Von Lipsey Investigation November 2021- Washington, DC According to publicly recorded records, Roderick Von Lipsey, a broker with UBS Financial Services, discloses 4 pending customer disputes which all relate…
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 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 moreAugust 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…
read moreApril 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…
read moreDecember 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) , a stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…
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