Bobby Kyle Cowand of Austin Texas a stockbroker formerly registered with Cary Street Partners is the subject of a customer initiated investment related complaint which was resolved for $20,000.00 in damages on February 18, 2016 supported by accusations that unsuitable equity transactions were executed in the customer’s account between August of 2014 and February of […]
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Tag Archives: Cary Street Partners
Cary Street Partners Accused Of Unsuitable Recommendations
May 01, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
UBS Financial Services Stockbroker Fired For Selling Away
May 30, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Kenneth Stewart Tyrrell, of Vienna, Virginia, a stockbroker registered with UBS Financial Services Inc., was terminated from employment on August 8, 2016, based upon allegations that he engaged in private securities transactions and outside business activities without having disclosed them to UBS Financial Services Inc. or retrieving approval from the firm; conduct violative of UBS […]
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