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UBS Financial Services

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick Von Lipsey Investigation November 2021- Washington, DC According to publicly recorded records, Roderick Von Lipsey,  a broker with UBS Financial Services,  discloses 4 pending customer disputes which all relate…

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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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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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John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 150 150 Rex Securities Law

August 2018-Birmingham, Michigan The FINRA records of  John C. Maccoll,  a  stock broker who was last employed by UBS Financial Services ,  disclose that he was recently discharged by UBS after failing to cooperate…

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German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

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David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Rex Securities Law

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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