Tag Archives: Oberon Securities LLC.

Customer Sues UBS For Unauthorized Trading

August 02, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Mark Horan, of Florham Park, New Jersey, a stockbroker formerly registered with UBS Financial Services, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on October 28, 2015, for $350,000.00 in damages based upon allegations that Horan effected an unauthorized over-the-counter equity transaction for the customer. The customer indicated that […]

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