Gregory Jackson Baxter of Fresno California a stockbroker formerly registered with UBS Financial Services Inc. has been discharged by the firm on November 29, 2017 based upon allegations that he engaged in outside business activities in 2017 after his requests for engaging in those activities had already been denied by the firm. Financial Industry Regulatory […]
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Tag Archives: Gregory Jackson Baxter
UBS Fires Broker For Outside Business Activities
February 05, 2019 | Posted by : Guiliano Law Group | Bond Fraud, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments