Tag Archives: Kristopher B. Smith

UBS Stockbroker Fired For Unauthorized Trading

October 05, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Kristopher B. Smith, of Fargo, North Dakota, a stockbroker formerly registered with UBS Financial Services Inc., has been terminated on May 26, 2010, supported by allegations that Smith violated the firm’s policies by effecting unauthorized trading in customer accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Smith was fined $5,000.00 and suspended from […]

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