Client Of Broker Nick Polydoros (UBS) Alleges Unsuitability Soreide Law Group provides you with new information concerning financial advisor representative Nick James Polydoros (CRD#: 1109056, Scottsdale, Arizona). Evidently, Polydoros joined securities firm UBS Financial Services beginning in December 2011. He became a financial advisor representative at UBS Financial Services in April 2013. Before then, he […]

Clients Allege Sales Practice Violations In Disputes About UBS Broker Brant Ferguson The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Brant Christopher Ferguson (CRD#: 2230893, Dallas, Texas). Specifically, two investors filed disputes alleging sales practice violations at UBS Financial Services, who Ferguson joined in May 2019 as financial advisor and securities […]

Broker Ricardo Turlan Suspended By FINRA For Alleged Unauthorized Trading Soreide Law Group has new information to share with you in regard to securities broker Ricardo Turlan (aka Ricardo Patricio Perez) (CRD#: 4431836, San Antonio, Texas). Financial Industry Regulatory Authority (“FINRA”) issued Turlan a suspension between June 7, 2021, and August 6, 2021, and fined […]

Churning, Misrepresentation Alleged In Investment Disputes About Carlos Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding a barred broker by the name of Carlos Antonio Rodriguez (CRD#: 4363000, Plano, Texas). This broker worked for firms Merrill Lynch and UBS Financial Services. Notably, FINRA expelled Rodriguez as securities broker in October 2017. Also, […]

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about a securities broker by the name of Todd Michael Ellentuck (CRD#: 1321452, Morristown, New Jersey). Mainly, at least three investors disputed Ellentuck’s sales practices. In addition, UBS Financial Services Inc. disaffiliated with Ellentuck due to unauthorized […]

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Broker Bill Hightower Barred By SEC And Faces Investor Lawsuits The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker William Andrew Hightower who is known as Bill Hightower (CRD#: 2152369, Houston, Texas). It is not commonplace for brokers to have 12 disclosures on their BrokerCheck record like Hightower has. Namely, […]

Title goes here Financial Industry Regulatory Authority BrokerCheck contains a number of alarming concerns surrounding the sales practices of financial advisor Kirk Badii (CRD#: 5829768, Los Angeles, California). In summary, five investors brought lawsuits or complaints about the broker, who worked for Cantella (2018 to 2020), Raymond James (2018) and UBS Financial Services (2012 to […]