FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading The Financial Industry Regulatory Authority (“FINRA”) just issued UBS Financial Services Inc. broker Scott Blake Mintz (CRD#: 4783179, Hartford, Connecticut) a suspension and required Mintz to pay a $5,000.00 fine for alleging making discretionary trades in the accounts of UBS Financial Services investors. FINRA […]

UBS Discloses Misconduct Allegations Against Brokers Julian Gingold, Robert Shultz, Gayle Dilla UBS Financial Services (CRD#: 8174, Weehawken, New Jersey), which is FINRA registered brokerage firm and SEC registered investment adviser firm, has disclosed through FINRA BrokerCheck that several of its own employees allegedly engaged in misconduct harming UBS Financial Services customers. For example, take […]

Warning! Misconduct Alleged By Principal Securities Brokers Rick Bower, Steven Bohn, Brian Menzel Principal Securities, Inc. (CRD#: 1137, Des Moines, Iowa) is a Financial Industry Regulated Authority (“FINRA”) regulated brokerage firm. Additionally, the firm is as an investment adviser firm which the Securities and Exchange Commission (“SEC”) regulates. Apparently, since Principal Securities’ establishment, it made […]