UBS Broker Teresa Bravo Allegedly Recommends Bad Investments Investor Alert! The Financial Industry Regulatory Authority (FINRA) reports troubling allegations of sales practice violations by UBS Financial Services Inc. broker Teresa Bravo [CRD#: 1575928, San Juan, Puerto Rico]. Apparently, at least 27 clients disputed the sales practices of the securities broker. Altogether, these disclosures indicate that […]

STEPHEN WOOD Investigated BY FINRA The Financial Industry Regulatory Authority (“FINRA”) announced April 2, 2019 that it made a “preliminary determination” to recommend the Department of Enforcement discipline securities broker Stephen Wood (CRD#: 1308917, Warren, New Jersey). Evidently, Wood – a UBS Financial Services securities representative from August 12, 2013 to May 26, 2017 – […]

INVESTOR ALERT: Unsuitability Claims Against UBS Broker WILLIAM HOBBY William David Hobby (CRD#: 2240076, Atlanta, Georgia) was a UBS Financial Services Inc. general securities broker and financial advisor from June 15, 2012 to October 9, 2018. Evidently, UBS recently discharged Hobby for discretionary trading in client accounts without their written authorization. Worse yet, according to […]

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 […]

INVESTOR ALERT: Virginia Regulator Alleges UBS Made Unsuitable Recommendations UBS Financial Services, Inc. (CRD#: 8174, Weehawken, New Jersey) is a brokerage and investment advisory firm regulated collectively by Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and state securities regulators. Apparently, regulators have sanctioned UBS a number of times for securities industry misconduct. […]

Customer Disputes Sales Practices Of UBS’ John Seiberling Fulton John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida) is a UBS Financial Services Inc. financial advisor. He has been registered with the firm since July 10, 2002. Fulton reported on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that a customer lodged a dispute about […]

UBS’ David Howard Fagenson Allegedly Misrepresented Investments David Howard Fagenson (CRD#: 1652012, Palm Beach, Florida) is a securities broker who previously worked for UBS Financial Services Inc. between September 3, 2010 and October 19, 2016. UBS Financial Services Inc. reported on Fagenson’s FINRA BrokerCheck Report that a customer of Fagenson’s had made false promises about […]

UBS Sued For Alleged Misappropriation Of Customer Funds UBS registered representative Derek Michael Nierman (CRD#: 2302164, Scottsdale, Arizona) has indicated on his FINRA BrokerCheck Report that his activities have resulted in five customer-initiated investment-related disputes. Those disputes relate to Derek Michael Nierman’s conduct at Morgan Stanley Smith Barney, UBS Financial Services Inc. and Citigroup Global […]

Customers Allege UBS, Fernando Rivera Misrepresented Securities Fernando Luis Castillo Rivera (CRD#: 1260734, San Juan, Puerto Rico) has been a registered representative of UBS Financial Services Inc. since June 6, 1984. Rivera disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have led customers to file FINRA Arbitration #14-02509, alleging Rivera committed sales […]