The key logo of the Swiss UBS Financial Services

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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

    Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.

    National Practice. Contingent Fee. Confidential Free Consultation. (877) SEC-ATTY