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UBS Financial Services problem

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

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…

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Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX

Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX 150 150 Rex Securities Law

Kirk 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…

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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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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…

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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…

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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…

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Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 150 150 Rex Securities Law

January 2019, Austin, TX According to publicly available records  Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a  cash settlement…

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Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX 150 150 Rex Securities Law

JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…

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