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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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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…

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Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX

Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX 150 150 Rex Securities Law

August 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…

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Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Rex Securities Law

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages

Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages 150 150 Rex Securities Law

February 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…

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Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Rex Securities Law

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Rex Securities Law

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Rex Securities Law

October  2020- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed by Berthel Fisher…

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Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 150 150 Rex Securities Law

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

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