Tag Archives: John Carolyn

UBS Financial Services Sued For Unuitable Recommendations

October 05, 2017  |   Posted by :   |   Over Concentration, Unsuitable Investment Recommendations   |   0 Comments

John Carolyn of Houston, Texas, a stockbroker formerly registered with UBS Financial Services Inc., is the subject of a customer initiated investment related arbitration claim, which settled on August 16, 2017, for $34,000.00 in damages based on allegations that from 2014 to 2016, Carolyn placed unsuitable stock transactions in the customer’s account, causing the customer’s […]

Read More »