Did You Lose Money Investing in UBS Financial Structured Notes? Call Us to Discuss Your Case The Sonn Law Group is currently investigating claims related to[...]
UBS
In what insiders are calling a surprising decision, highly successful broker Craig D. Findley was fired by his firm, the U.S. arm of UBS Financial[...]
Former UBS Financial Services Inc. broker, David Fagenson (CRD#: 1652012) was suspended last week by the Financial Industry Regulatory Authority, Inc. (FINRA) for numerous unsuitable[...]
From 2012 to 2018, Alex Gerardo Herrera (CRD#: 3204779) served as a broker and investment advisor for UBS Financial Services in Miami-Dade County, FL. Prior[...]
David Fagenson (CRD#: 1652012) is currently employed as a broker at Newbridge Securities Corporation in Boca Raton. Prior to joining this brokerage firm, Mr. Fagenson[...]
John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in[...]
Kevin P. Smith (CRD#: 1363302) is a former broker and registered investment advisor (RIA). From 2009 to 2016, Mr. Smith was employed as a broker[...]
Dwight West (CRD#: 463778) is a registered broker. Since 2009, Mr. West has worked at UBS Financial Services in Carbondale, Colorado. Earlier this year, an[...]
Vicente Castillo (CRD#: 1163483) is actively registered with FINRA as an investment broker. Since 1994, Mr. Castillo has been employed at UBS Financial Services Incorporated[...]
John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[...]