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Articles Tagged with UBS

The value of ETRACS Exchange Traded Notes, unsecured debt securities offered by UBS, has plummeted 60%, triggering mandatory redemption and raising questions about potential sales practice violations by UBS brokers. The securities attorneys of Fitapelli Kurta are interested in hearing from investors who invested in ETRACS. Read on to learn more about recent developments.  What […]

A three-person Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded $11 million to Mark Munizzi, a former market operations supervisor at UBS in Chicago who claimed that UBS defamed him when they terminated him in April 2018. What allegedly happened in this case? In February 2019, Mark Munizzi was overseeing two accounts, which declined […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on December 23, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has received resolved and pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967). William Carlton has spent 33 years in the securities industry and […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 1, 2016 indicate that former Washington-based UBS Financial Services broker/adviser Lori Cousineau Weaver is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Cousineau […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that New Jersey-based UBS Financial Services broker/adviser Gerald Crum is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investor who have complaints regarding Mr. Crum (CRD# 2363691). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Vermont-based UBS Financial Services broker/adviser Thomas Cosinuke has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cosinuke (CRD# 704650). Thomas […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Illinois-based UBS Financial Services broker/adviser David Melby has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Melby (CRD# 2413077). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that Florida-based UBS broker/adviser Rosario Cammarata has received resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing form investors who have complaints regarding Mr. Cammarata (CRD# 2510256). Rosario Cammarata has spent […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that California-based UBS broker/adviser Thomas McMullen has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McMullen (CRD# 1881082). Thomas McMullen has […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 25th, 2016 indicate that New Jersey-based UBS Financial Services broker/adviser Richard Vincent is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Vincent (CRD# 1091826). Richard Vincent has spent 33 […]

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