Tag Archives: Alfred William Valz

UBS Financial Services Stockbroker Fined For Unauthorized Trading

January 13, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Alfred William Valz, of Manasquan, New Jersey, a stockbroker formerly registered with UBS Financial Services Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity based upon consenting to findings that Valz placed unauthorized trades in the accounts of customers. Letter of Acceptance, Waiver […]

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