Tag Archives: BS Financial Services

UBS Stockbroker Suspended For Unauthorized Trading

January 26, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

James Dee Carlson, of Greensboro, North Carolina, a stockbroker formerly employed with UBS Financial Services, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that he executed trades in customer accounts without authorization from the customers or firm. Letter of […]

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