David Alan Lavine, of Houston, Texas, a stockbroker formerly registered with UBS Financial Services Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon his failure to confirm with FINRA staff that he was compliant with a settlement agreement or customer initiated investment related […]
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Tag Archives: David Alan Lavine
UBS Financial Services Stockbroker Suspended By Regulator
May 18, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims | 0 Comments