Christopher Anthony Paganelli of Walnut Creek California a stockbroker formerly registered with UBS Financial Services Inc. was discharged by the firm on July 6, 2017 founded on allegations that Paganelli violated the firm’s policy by having engaged in unapproved outside business activities between October 3, 2016 and February 23, 2017.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that a customer initiated investment related complaint concerning Paganelli’s activities was settled for $6,842.00 in damages based upon accusations that between May 1, 2014 and September 26, 2016, while associated with UBS Financial Services Inc., Paganelli: failed to inform the customer about the risks pertaining to securing a credit line through funding an account from the customer’s individual retirement account distributions; effected unsuitable transactions in the customer’s account; and breached a fiduciary obligation to the customer.
Since August 9, 2017, Paganelli has been employed by Stifel, Nicolaus & Company, Incorporated.
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