Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to comply with an arbitration award or otherwise inform FINRA about his compliance. FINRA Arbitration No. 20-00245 (Aug….
Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly employed by UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his involvement in private securities transactions…