Tag Archives: Audrey Helmstetter

UBS Financial Services Branch Barred for Stealing

Audrey Helmstetter, a branch service associate for UBS Financial Services, was permanently barred from association with any Financial Industry Regulatory Authority member in any capacity after consenting to findings that she converted a customer’s funds. Letter of Acceptance, Waiver, and Consent No. 2014042389701 (May 5, 2015). According to the AWC, Helmstetter was a non FINRA-registered […]

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