Tag Archives: Christopher James Conroy

UBS Financial Services Stockbroker Suspended For Unauthorized Trading

December 07, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Christopher James Conroy, of New York, New York, a stockbroker currently registered with UBS Financial Services, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected unauthorized discretionary trades in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015047589801 (Nov. […]

Read More »