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 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 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 moreJuly 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 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 moreNovember 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 moreNovember 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 moreJune 2020- San Antonio, TX The FINRA records of Daniel Rebmann, a broker currently employed by UBS Financial Services, disclose two customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…
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