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Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute  The Financial Industry…

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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

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…

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Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL
Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL 150 150 ER

Jim Driggers Investigation July 2022-Sarasota, FL According to publicly available records Jimmy Yang Driggers a currently unregistered broker who was previously with Morgan Stanley ,  discloses a prior customer dispute…

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Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX
Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX 150 150 Rex Securities Law

Kirk 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…

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Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ
Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ 150 150 ER

Richard “Rick” Whalen Investigation April 2022- Phoenix, AZ According to publicly available records,  Richard J. Whalen,  a UBS Financial Services, Inc., broker discloses a customer dispute. The Financial Industry Regulatory…

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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 150 150 ER

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…

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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY
William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…

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Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC
Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick 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…

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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 150 150 ER

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…

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