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Articles Tagged with UBS Financial Services

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New Jersey-based UBS Financial Services broker/adviser Andrew Perry has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Perry (CRD# 1726938). Andrew Perry has spent 30 years […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New York-based UBS Financial Services broker/adviser Mark Zeller has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zeller (CRD# 2263684). Mark Zeller has spent 25 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Texas-based UBS Financial Services broker/adviser Richard Niemann has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227). Robert Mueller has spent 23 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2019 indicate that New York-based UBS Financial Services broker/adviser Jeffrey Klotz has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Klotz (CRD# 734678). Jeffrey Klotz has spent […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former Georgia-based UBS Financial Services broker/adviser William Hobby, who has received numerous customer disputes, was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2018 indicate that UBS Financial Services and UBS Financial Services of Puerto Rico have been ordered to pay an award exceeding $19 million to a party of investors as the result of a FINRA arbitration. Fitapelli Kurta is interested […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that Florida-based UBS Financial Services broker/adviser Jason Stephens has received regulatory sanctions and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 2, 2018 indicate that UBS Financial Services of Puerto Rico has been ordered to pay an award of $250,000 in a claim involving Puerto Rico municipal bond products. FINRA records indicate that the claim was filed in 2016 by a […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 18, 2018 indicate that Colorado-based UBS Financial Services broker/adviser Dwight West has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. West (CRD# 463778). Dwight West has spent 36 years in the […]

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