Tag Archives: Phil Fiore Jr.

UBS Financial Services Stockbroker Terminated For Misconduct

March 21, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Phil Fiore Jr., of Stamford, Connecticut, a stockbroker registered with UBS Financial Services Inc., has been terminated from employment on November 30, 2016, based upon allegations that he failed to abide by his firm’s procedures, including: the operation of a golf tournament without approval; communications with the public without the firm’s authorization; and Fiore’s lack […]

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