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…
read moreKirk 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…
read moreRichard “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…
read moreMay 2019- Sugarland, TX According to publicly available records Richard D. Niemann (CRD#348144) , a stockbroker who is currently registered with USB Financial Services, Inc., discloses a regulatory event and 2…
read moreMarch 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…
read moreNovember 2016-Palm Beach, Florida The FINRA records of Anthony J. Mazzo, a stockbroker who is currently employed by BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…
read moreJuly 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…
read moreRed Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…
read moreJANUARY 2019 UPDATE– See this for more. April 7, 2016- Houston, TX FINRA records report that former UBS Financial Services stockbroker William A. Hightower is named in a currently pending arbitration…
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