Melanie Haning of Las Vegas Nevada a stockbroker formerly registered with UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Haning failed to provide information to FINRA after it was formally requested of her. Case No. 2017056399901 (Apr. 12, 2018).
According to the AWC, FINRA issued Haning a Notice of Suspension on January 9, 2018, and officially suspended Haning on February 2, 2018. Haning apparently had three months from the time that she was notified about her suspension to request that it be terminated. Haning was also seemingly required to provide FINRA with the requested information by the April 11, 2018 deadline, otherwise she faced a permanent bar being imposed by FINRA. Haning reportedly failed to respond by the deadline. As a result, FINRA barred her in all capacities on April 12, 2018.
FINRA Public Disclosure reveals that UBS Financial Services Inc. discharged Haning on October 19, 2017 based upon accusations that Haning and another employee of the firm engaged in financial transactions that had not been authorized by UBS.
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