Tag Archives: Richard Eastburn

FINRA Sanctions UBS Stockbroker For Third Party Trickery

November 20, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Richard Eastburn, of Cleveland, Ohio, a stockbroker formerly registered with UBS Financial Services Inc., has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made misrepresentations to customers about custody agreements. Letter of Acceptance, Waiver and Consent, […]

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