Investors potentially experienced losses due to securities broker Keith Russell Morgan (also known as Keith Morgan) [CRD: 3139407, Dalton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan worked for Steward Partners Investment Solutions LLC from July 15, 2010, and became registered with Steward Partners Investment Advisory LLC on May 1, […]

Investors potentially experienced losses because of securities broker Andrew William Payne [CRD: 5607123, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Andrew Payne worked for UBS Financial Services Inc. from October 12, 2011, to August 17, 2023, and Aegis Capital Corp. from August 2, 2023, to April 11, 2024. […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph P. Katzaroff (also known as Joseph Patrick Katzaroff) [CRD: 1811119, Irvine, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege unsuitable trading. Here […]

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 […]

Customers File Disputes Involving UBS Financial Services’ Pedro Pons Pedro J. Jose Pons (CRD#: 2495983, San Juan, Puerto Rico) is a prior general securities representative of UBS Financial Services Inc. Throughout Pedro Pons’s employment, he serviced the investment accounts of approximately 19 customers that complained about his activities. A brief summary of Pedro Pons pending […]