Latest Securities Lawyer News

UBS Financial Services Investors have come forward with complaints about securities broker William Word Huthnance [CRD #: 4326519, Houston, Texas]. Huthnance has been employed by UBS Financial Services since 2015. Specifically, UBS Financial Services clients allege that Huthnance made unsuitable recommendations and misrepresentations. For more on these disclosures about Huthnance, see below. William Huthnance Allegedly […]

Investors have come forward with complaints about securities broker Matthew Stern Buchsbaum [CRD#: 2220565, New York, New York]. Evidently, the securities broker, who worked for UBS Financial Services, discloses investor disputes on FINRA BrokerCheck. Evidently, UBS Financial Services clients allege misrepresentations and unsuitable recommendations. For more on these disclosures about Buchsbaum, see below. However, please […]

Soreide Law Group is investigating possible investor claims against securities broker Paul Ronald Koch [CRD#: 1777599, Wayzata, Minnesota]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Notably, FINRA's accusations against the securities broker include failure to cooperate in an investigation. Also, investors allege sales practice violations by Koch. Here is a […]

Multiple UBS Clients File Investment Disputes About Broker Neil Klein FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Neil Kevin Klein (CRD#: 1681779, White Plains, New York) and that those violations resulted in damages. Notably, Klein was a securities broker and financial advisor at UBS Financial Services (his employer since 2006) […]

Broker Rafael Gonzalez Subject Of UBS Financial Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Rafael Alberto Gonzalez (CRD#: 2096117, Coral Gables, Florida). It appears that Gonzalez worked for securities firms UBS Financial Services and Santander Securities before joining Morgan Stanley. Evidently, he is both a financial advisor and […]

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, […]