fbpx

UBS

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…

read more

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Rex Securities Law

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…

read more

Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE

Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE 150 150 Rex Securities Law

August 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 more

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 150 150 Rex Securities Law

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…

read more

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA 150 150 Rex Securities Law

July 2021-Los Angeles, CA According to publicly available records,  Ralph A. Jackson, III (CRD#1569213), a broker currently employed with  Morgan Stanley,  discloses 4 prior customer disputes that were settled. The…

read more

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC 150 150 Rex Securities Law

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…

read more

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY 150 150 Rex Securities Law

April 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 more

Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY

Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY 150 150 Rex Securities Law

November 2020- New York, NY According to publicly available records,    UBS Financial Services, Inc.  financial advisor Charles S. Teixeira,  discloses 2 settled customer disputes and two pending customer disputes.…

read more

Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX

Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX 150 150 Rex Securities Law

November 2020- Houston, TX According to publicly available records, former  financial advisor Grizelle E. Perez, who last worked for USCA Securities,  has been barred from the securities industry by FINRA.…

read more