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 […]
Read More »
Tag Archives: Oberon Securities LLC.
Customer Sues UBS For Unauthorized Trading
August 02, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments