Melanie Haning of Las Vegas Nevada a stockbroker formerly registered with UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Haning failed to provide information to FINRA after it was formally requested of her. Case No. 2017056399901 (Apr. 12, 2018). […]
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Tag Archives: Melanie Haning
FINRA Bars UBS Stockbroker In Investigation
August 25, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments