Tag Archives: Ricardo Turlan

FINRA Sanctions UBS Stockbroker For Unauthorized Trading

June 12, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on FINRA Sanctions UBS Stockbroker For Unauthorized Trading

Ricardo Turlan (also known as Ricardo Patricio Perez-Turlan and as Ricardo Patricio Ramirez) of San Antonio Texas a stockbroker formerly registered with UBS Financial Services Inc. has been fined $7,500.00 and suspended for two-months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he effected unauthorized trades […]

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