fbpx

UBS Financial complaints

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Rex Securities Law

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

read more

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 150 150 Rex Securities Law

February 2019-Leawood, KS The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

read more

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

read more

Christopher Miller UBS Financial Broker Sanctioned by FINRA-Sugarland TX

Christopher Miller UBS Financial Broker Sanctioned by FINRA-Sugarland TX 150 150 Rex Securities Law

October 1, 2014-The Woodlands, Texas  Christopher L. Miller entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he posted messages on an…

read more