Tag Archives: Robert Baldwin Del Guercio

Herbert J Sims Stockbroker Barred For Obstruction

November 01, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Robert Baldwin Del Guercio, a stockbroker formerly registered with Herbert J. Sims & Co. Inc., has been barred from associating with any FINRA member in any and all capacities based upon allegations that he failed to cooperate in a FINRA investigation into allegations of his improper conduct. Letter of Acceptance, Waiver and Consent, No. 2016051166301 […]

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Regulator Charges UBS Financial Services Stockbroker With Unauthorized Trading

July 28, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Robert Baldwin Del Guercio, of Iselin, New Jersey, a stockbroker formerly registered with UBS Financial Services Inc., was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he, inter alia, effected unauthorized securities transactions in a customer’s account. Department of Enforcement v. Robert Baldwin Del Guercio, No. 2013038393601 (June 29, 2017). According […]

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