Investors potentially experienced sales practice violations by securities broker Igor Harlap (also known as Gary Harlap) [CRD: 3125590, Huntingdon Valley, Pennsylvania], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harlap has been registered with UBS Financial Services Inc. since November 18, 1998, and he has also been registered as a financial […]

Investors have reportedly disputed the sales practices of securities broker Kenneth Louis Goldhoff [CRD: 1186205, Tucson, Arizona], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Goldhoff has been registered with UBS Financial Services Inc. since February 9, 2007. See the following information to find out more about Goldhoff’s disclosure history. […]

Investors apparently complained about securities broker Fidel Francisco Trejo-Erazo Jr. (also known as Fidel Francisco Trejo Erazo) [CRD: 1251352, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trejo-Erazo worked for UBS Financial Services Inc. from December 16, 1998, to May 9, 2025, and later joined Morgan Stanley on May […]

Investors potentially experienced sales practice violations by securities broker Arnold I. Irwin Alpert [CRD: 3919, Phoenix, Arizona], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alpert worked for UBS Financial Services Inc. from August 17, 2006, to January 6, 2025, and was previously registered with Salomon Smith Barney Inc. earlier in his […]

Investors potentially experienced sales practice violations by securities broker Dimitrios Kosmo Michelis [CRD: 2920152, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Michelis worked for UBS Financial Services Inc. from June 24, 2011, to September 10, 2025. Read on to discover more about Michelis’s […]

Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]

Investors might have sustained losses because of securities broker Zachary Donovan Werner [CRD: 7207877, Cincinnati, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werner has been registered with UBS Financial Services Inc. in Cincinnati, Ohio, since April 21, 2022. See the following information to find out more about the pending […]

Investors apparently complained about securities broker Thomas Abbitt Jenkins Jr. (also known as Tom Jenkins) [CRD: 2562513, Houston, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Thomas Jenkins has been registered with UBS Financial Services Inc. in Houston, Texas since September 7, 2010, where he also serves as an investment adviser representative since […]

Investors potentially experienced sales practice violations due to securities broker Terry William Griffith [CRD: 4937497, Watertown, Massachusetts], according to disclosures on FINRA BrokerCheck. Evidently, Griffith worked for UBS Financial Services Inc. in Peabody, Massachusetts, from May 14, 2014, to May 15, 2024, and has been registered with Independent Financial Group LLC in Watertown, Massachusetts, since […]