Tag Archives: David Eliot Aycock

UBS Aycock Fails To Get Off Warrants

November 23, 2018  |   Posted by :   |   Failure to Execute, Investment and Regulatory News   |   0 Comments

David Eliot Aycock of Leawood Kansas a stockbroker currently employed by UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $18,477.06 in damages on May 30, 2017 founded on accusations that Aycock failed to effected the sale of the customer’s warrants. Financial Industry Regulatory Authority (FINRA) […]

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