Learn More About Investor Claims Against Robert Baldwin Del Guercio

01 11 '17

Herbert J Sims Stockbroker Barred For Obstruction

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…

28 07 '17

Regulator Charges UBS Financial Services Stockbroker With Unauthorized Trading

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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