John Anthony Sommo of New Haven, Connecticut, a stockbroker formerly registered with UBS Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA’s request for information. Case No. 2020067928601 (April 4, 2022). Public Disclosure shows that…

William Montgomery Cerf (also known as Monty Cerf) of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer was awarded $1,109,484.73 in compensatory damages because UBS Financial Services Inc. was held liable on the customer’s…

Zachary Hansen (also known as Zach Hansen) of Denver, Colorado, a stockbroker registered with UBS Financial Services Inc., has been fined $7,500.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Hansen failed to retain private communications with customers concerning securities transactions….

Scott Michael Rosenberg of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $8,000,000.00 in damages based upon accusations that Rosenberg provided unsuitable recommendations and misrepresented information concerning an options overlay strategy that the…

Gerard Joseph Costello of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related civil action in which investors collectively sought $1,200,000,000.00 in damages founded on allegations of Costello’s failure to disclose risks concerning Yield Enhancement Strategy (YES) when Costello was registered with…

Matthew Stern Buchsbaum of New York, New York, a stockbroker currently registered with UBS Financial Services, is referenced in a customer initiated investment related class action complaint in which customers sought $1,200,000,000.00 in damages supported by accusations of the failure to disclose risks, conflicts of interest, and performance of Yield Enhancement Strategy (YES) between 2016…

William David Hobby of Atlanta, Georgia, a stockbroker formerly registered with UBS Financial Services Inc., is identified in a customer initiated investment related written complaint which was resolved for $229,000.00 on October 2, 2019, supported by allegations of the customer being placed into unsuitable over-the-counter equities when Hobby was employed by UBS Financial Services. According…

Kirk Badii, of Los Angeles, California, a stockbroker formerly registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $3,000,000.00 in damages supported by accusations of mismanagement and unsuitable recommendations concerning alternative investments while Badii was associated with UBS Financial Services. Financial…

Rodney Deleths Washington (also known as RD Washington), of New Albany, Ohio, a stockbroker formerly registered with UBS Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to cooperate with a FINRA investigation concerning accusations of his outside business…

Eilesia Kepper Dixon (also known as Eilesia McGivney Dixon, Lisa Dixon, and as Lisa L. Keeper) of Monroe Louisiana a stockbroker and investment adviser representative of LPL Financial LLC had been discharged from employment on November 3, 2020. According to LPL Financial, Dixon placed customers’ signatures on account transfer and account opening paperwork. The customers…

Christiane Olsen of New York New York a stockbroker formerly registered with UBS Financial Services Inc. is referenced in a customer initiated investment related written complaint on August 3, 2020, where the customer requested compensatory damages founded on accusations of Olsen selling them unsuitable corporate bonds and notes while she was registered with UBS Financial…

Shay W. Scruggs of Houston Texas a stockbroker and investment adviser representative of UBS Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought between $2,000,000.00 and $3,000,000.00 in damages based upon allegations that they had been placed into unsuitable equities by Scruggs between 2013 and…

Peter Douglas McColgan of Cincinnati Ohio a stockbroker formerly registered with UBS Financial Services is referenced in a customer initiated investment related written complaint which was settled for $25,887.44 in damages on December 19, 2019, based on accusations that unauthorized trades were executed in the customer’s account by McColgan while he was employed by UBS…

Ramiro Luis Colon III (also known as Ramiro Luis Colon Ortiz III) of Miami Florida a stockbroker formerly registered with UBS Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,421,565.59 in damages supported by accusations that Colon failed to supervise municipal bond and closed…

Brant Christopher Ferguson of Dallas Texas a stockbroker and investment adviser representative of UBS Financial Services Inc. has been referenced in a customer initiated investment related written complaint on April 12, 2021 in which the customer requested more than $5,000.00 in damages based upon accusations that their account had been mismanaged during the time that…

Levi B. Robinson of Anchorage Alaska a stockbroker currently registered with UBS Financial Services Inc. has been referenced in a customer initiated investment related written complaint which was settled for $125,000.00 in damages on December 6, 2018 founded on accusations of misrepresentations by the stockbroker in regard to hedging and selling a customer’s investments. According…

Nick James Polydoros of Scottsdale Arizona a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $525,000.00 in damages supported by allegations that they had been placed into unsuitable investments because of Polydoros while he was associated with UBS…

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…

Scott Michael Rosenberg of New York New York a stockbroker formerly registered with UBS Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by allegations that Rosenberg made misrepresentations to the customer regarding buying and holding into an options overlay strategy between…

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to comply with an arbitration award or otherwise inform FINRA about his compliance.  FINRA Arbitration No. 20-00245  (Aug….

Gerard Joseph Costello of New York New York a stockbroker formerly registered with UBS Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested up to $100,000.00 in damages founded on allegations that there were unsuitable recommendations by Costello in regard to an options overlay strategy…

Jeremy Seidman of Boston Massachusetts a stockbroker currently registered with UBS Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $6,500,000.00 in damages supported by accusations that the customer had been recommended an unsuitable options overlay strategy by Seidman between 2016 and 2019 when he…

Ricardo Fontana Guimaraes of Miami Florida a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $57,000.00 in damages based upon allegations that the customer had been sold unsuitable bonds from Guimaraes when he was associated with UBS Financial…

Robert David Cohen (also known as Bob Cohen and as Rob Cohen) a former stockbroker and investment adviser representative of UBS Financial Services has been referenced in a customer initiated investment related written complaint on January 14, 2019 where the customer sought more than $5,000.00 in damages founded on accusations that unauthorized bond purchases were…

Melinda Joyce Abood of New York New York a stockbroker currently registered with UBS Financial Services is the subject of a customer initiated investment related written complaint on April 21, 2020 where the customer requested $42,000.00 in damages founded on allegations that the customer’s investment instructions were not followed concerning securities held in their UBS…

Julian Howard Gingold of New York New York a stockbroker formerly registered with UBS Financial Services is the subject of a customer initiated investment related written complaint on February 25, 2019 where the customer sought more than $5,000.00 in damages founded on allegations that a fiduciary duty that was owed to the customer had been…

Richard John Denecker Jr. (also known as Dick Denecker) of Richmond Virginia a stockbroker currently registered with UBS Financial Services has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Denecker engaged in unauthorized trading in customer accounts at UBS. Letter of…

Cary Alan Moskowitz of New York New York a stockbroker currently associated with UBS Financial Services has been referenced in a customer initiated investment related complaint in which the customer requested $14,000,000.00 in damages supported by allegations that unsuitable options transactions had been executed in the customer’s account during the period in which Moskowitz was…

Michael Frank Paesano of New York New York a stockbroker formerly employed by Morgan Stanley has been identified in a customer initiated investment related arbitration claim where the customer sought unspecified damages founded on accusations that trades were executed in the customer’s account in excessive amounts between July of 2014 and December of 2016 while…

John Seiberling Fulton of West Palm Beach Florida a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,400,000.00 in damages based upon allegations that between 2017 and 2019: an options overlay strategy implemented in the customer’s account had been…

Gerard Joseph Costello of New York New York a stockbroker currently associated with UBS Financial Services has been referenced in a customer initiated investment related arbitration claim in which the customer requested $350,000.00 in damages supported by allegations that (1) misrepresentations had been made by the stockbroker concerning an options overlay strategy implemented in the…

Eric Robert Schwartz of Florham Park New Jersey a stockbroker formerly registered with UBS Financial Services is the subject of a customer initiated investment related written complaint on July 3, 2019 where the customer sought $225,000.00 in damages based upon accusations of omissions and misrepresentations by Schwartz as it pertained to distributions which were required…

Kirk Badii of Los Angeles California a stockbroker formerly associated with UBS Financial Services Inc. has been referenced in a customer initiated investment related complaint on April 17, 2020 in which the customer requested as much as $2,600,000.00 in damages supported by allegations that the customer had been advised by Badii to invest in inappropriate…

Dwight Clyde West of Lone Tree Colorado a stockbroker registered with UBS Financial Services is the subject of a customer initiated investment related complaint on March 7, 2019 in which the customer requested $10,000.00 in damages based upon allegations that the risks of transactions effected by the stockbroker between 2013 and 2018 had exceeded the…

William David Hobby of Atlanta Georgia a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $130,000.00 in damages based upon allegations that between 2014 and 2018: (1) trades were effected in the customer’s account by the stockbroker without the customer’s…

Scott Michael Rosenberg of New York New York a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,200,000.00 in damages based upon accusations that (1) the customer was provided with unsuitable investment recommendations between 2016 and 2020 concerning the…

Scott Blake Mintz of Hartford Connecticut a stockbroker currently associated with UBS Financial Services Inc. is the subject of a Consent Order issued by the Massachusetts Securities Division in which the stockbroker has been sanctioned based upon allegations of his exercise of discretion in the accounts of UBS Financial Services customers without advanced written permission…

Derek Michael Nierman of Scottsdale Arizona a stockbroker formerly employed by UBS Financial Services Inc. has been identified in a customer initiated investment related arbitration claim which was resolved for $98,750.00 in damages founded on accusations that the customer was steered by Nierman towards investing in a real estate investment but the customer’s funds had…

Matthew Stern Buchsbaum of New York New York a stockbroker associated with UBS Financial Services Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages supported by allegations that (1) misrepresentations had been made to the customer in regards to an options overlay strategy implemented…

John Robert Morris of Warren New Jersey a stockbroker currently employed by UBS Financial Services Inc. has been identified in a customer initiated investment related arbitration claim which was resolved for $25,000.00 in damages founded on accusations that (1) misrepresentations had been made to the customer concerning investments in oil and gas securities and Puerto…

Martin Joseph Hare of Oakbrook Illinois a stockbroker associated with UBS Financial Services Inc. has been referenced in a customer initiated investment related arbitration claim which has been settled for $70,000.00 in damages supported by allegations that between 2017 and 2018: (1) UBS failed to supervise Hare’s transactions (2) the customer’s account had been imprudently…

Stephen Douglas Wood of Bedminster New Jersey a stockbroker currently employed by UBS Financial Services Inc. has been identified in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on April 2, 2019 into accusations that (1) Wood failed to comply with FINRA Rule 2010 and NASD Rule 2510(b) by effecting purchases or sales of…

Mark Laing Lichtenfeld of Florham Park New Jersey a stockbroker formerly employed by UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $850,000.00 in damages founded on allegations that (1) the customer had been provided bad advice from Lichtenfeld concerning an options overlay strategy and…

Neil Kevin Klein of White Plans New York a stockbroker currently registered with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested between $200,000 and $500,000.00 in damages founded on allegations that trades placed by the stockbroker were unsuitable which resulted in unwarranted losses and…

Scott Michael Rosenberg of New York New York a stockbroker currently registered with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $400,000.00 in damages supported by accusations that (1) unfounded statements had been made concerning the terms and conditions of an options overlay strategy…

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related complaint which was settled for $137,500.00 on August 19, 2019 supported by allegations that between 2013 and 2016, the customer’s funds had been relocated by Herrera without the customer’s permission….

William Andrew Hightower of Houston Texas a stockbroker formerly registered with Legacy Asset Securities Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought unspecified damages supported by accusations that (1) the customer’s account had been liquidated by Hightower without the customer’s authorization and (2) funds were improperly used to…

Lorenzo C. Esteva of Miami Florida a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $225,000.00 in damages supported by allegations that (1) omissions and unfounded statements had been made to the customer concerning the terms and conditions…

Ronald Dale Broadstone of New Albany Ohio a stockbroker formerly employed by UBS Financial Services Inc. is the subject of a Division Order in which he was ordered to cease and desist from engaging in conduct violative of Ohio Securities Act based on the Division’s findings that (1) Broadstone engaged in manipulative and deceptive acts…

Carlos Antonio Rodriguez of Plano Texas a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought more than $3,600,000.00 in damages founded on allegations that (1) the customer had been placed into oil and gas master limited partnerships and mutual funds…

Margaret Mary Lech-Loubet of Beverly Hills California a stockbroker formerly employed by UBS Financial Services Inc. is referenced in a customer initiated investment related written complaint which was resolved for $20,000.00 on May 22, 2018 based upon accusations that the risks and illiquidity of the customer’s structured products holdings were not disclosed to the customer…

Michael Roy Blueweiss of Melville New York a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $600,000.00 in damages based upon accusations that between 2014 and 2017: (1) the customer’s funds had been stolen or otherwise misappropriated by Blueweiss (2)…

Nicolas Jesus Barrios of Winter Haven Florida a stockbroker and Production Branch Manager formerly employed by UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Barrios failed to cooperate with FINRA during an investigation into accusations of (1)…

Thomas G. Gresham (also known as Tom Gresham) of Overland Park Kansas a stockbroker currently registered with Moloney Securities Co. Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $495,000.00 in damages founded on accusations that (1) Moloney Securities Co. and UBS Financial Services Inc. collectively failed to…

William Jeffrey Carlton of Vienna Virginia a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related complaint which was resolved for $657,998.24 in damages on May 24, 2017 founded on allegations that between January 4, 2016 and February 23, 2017: (1) excessive exchange traded fund trades were executed…

Craig Daniel Price of Stuart Florida a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $20,500.00 in damages supported by allegations that (1) misrepresentations or omissions had been made to the customer by Price concerning Cardero Resources equities held in…

James Brian Cain of Beverly Hills California a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on January 4, 2018 where the customer requested $45,000.00 in damages founded on accusations that between July 18, 2014 and January 4, 2018: (1) the customer was placed…

Matthew Stern Buchsbaum of New York New York a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $1,000,00.00 in damages based upon accusations that between March of 2017 and March of 2019: (1) misrepresentations had been made to the customer…

William David Hobby of Atlanta Georgia a stockbroker formerly employed by UBS Financial Services Inc. has been discharged by the firm on September 18, 2018 supported by accusations that (1) Hobby violated the firm’s customer complaint policy by neglecting to apprise the firm that he was subject of a customer initiated investment related complaint and…

Carolyn Marie Thur of Chicago Illinois of Oakbrook Terrace Illinois a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $225,000.00 in damages founded on allegations that (1) omissions had been made to the customer concerning the risks, portfolio composition…

Bruce Davis Smith of Atlanta Georgia a stockbroker formerly employed by UBS Financial Services Inc. has been discharged by the firm on August 7, 2018 supported by allegations that Smith was not forthcoming to the firm concerning his involvement with a customer in transactions referenced in a Securities Exchange Commission (SEC) inquiry. Financial Industry Regulatory…

Gerard Joseph Costello of New York New York a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related complaint on December 26, 2018 in which the customer sought damages estimated to exceed $5,000.00 founded on allegations that misrepresentations had been made to the customer concerning risks of an…

Patrick Thomas Donohue of New York New York a stockbroker formerly employed by UBS Financial Services Inc. has been terminated on December 7, 2018 founded on the firm’s accusations that Donohue failed to make required disclosures to the firm concerning his legal affairs; conduct violative of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public…

Richard D. Niemann of Sugar Land Texas a stockbroker currently registered with UBS Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unauthorized trades in customer accounts. Letter of Acceptance Waiver and Consent No….

Daniel Edward Rebmann of San Antonio Texas a stockbroker currently associated with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which was settled for $25,000.00 in damages based upon accusations that structured products had been purchased for the customer’s account without the customer’s permission while Rebmann was associated with…

Angel Edgardo Aquino-Velez of Miami Florida a stockbroker formerly employed by Morgan Stanley is referenced in a customer initiated investment related arbitration claim where the customer requested unspecified damages founded on accusations that between 2011 and 2017, closed-end fund and municipal debt transactions were executed in the customer’s account that were not suitable for the…

Gregory Jackson Baxter of Fresno California a stockbroker formerly registered with UBS Financial Services Inc. has been discharged by the firm on November 29, 2017 based upon allegations that he engaged in outside business activities in 2017 after his requests for engaging in those activities had already been denied by the firm. Financial Industry Regulatory…

Lane Robert Goldstein of Beverly Hills California a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which sought $240,000 in damages but which was resolved for $35,000.00 based upon accusations that between 2007 and 2016: (1) inappropriate investments were placed in the customer’s account (2)…

Douglas Albert Pastor of Davison Michigan a stockbroker formerly employed by UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on February 7, 2017 in which the customer sought damages estimated to exceed $5,000.00 founded on accusations that between April 13, 2010 and December 16, 2016, Pastor charged the…

Paul Steven Wishingrad of Beverly Hills California a stockbroker formerly employed by UBS Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in customer accounts. Letter of Acceptance Waiver and Consent No….

Timothy Joseph Trott of Erie Pennsylvania a stockbroker formerly employed by UBS Financial Services is the subject of a customer initiated investment related arbitration claim in which the customer sought $170,000.00 in damages supported by accusations that Trott executed a highly risky investment strategy for the customer’s investment account and placed the customer in unsuitable…

Daniel Stephen Snodgrass of Cherry Hill New Jersey a stockbroker formerly registered with UBS Financial Services Inc. has been discharged by the firm on September 26, 2016 based upon accusations that Snodgrass violated multiple policies of UBS Financial Services by failing to undertake the required due diligence process in reference to the establishment of a…

Steven Douglas Wood of Warren New Jersey a stockbroker formerly employed by UBS Financial Services Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to pay a $301,432.00 Arbitration Award after being found liable for defrauding a customer. FINRA…

Walter James Keating of Indian Wells California a stockbroker formerly employed by UBS Financial Services Inc. is referenced in a customer initiated investment related written complaint on April 25, 2016 where the customer requested damages estimated to exceed $5,000.00 supported by allegations that (1) Keating omitted information from the customer in regard to the customer’s…

Brent Gordon Thompson of Franklin Tennessee a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $300,000.00 in damages founded on accusations that between 1995 and 2015: (1) the customer was subject to elder abuse (2) fiduciary duties owed to the customer…

Christopher Anthony Paganelli of Walnut Creek California a stockbroker formerly registered with UBS Financial Services Inc. was discharged by the firm on July 6, 2017 founded on allegations that Paganelli violated the firm’s policy by having engaged in unapproved outside business activities between October 3, 2016 and February 23, 2017. Financial Industry Regulatory Authority (FINRA)…

David Eliot Aycock of Leawood Kansas a stockbroker currently employed by UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $18,477.06 in damages on May 30, 2017 founded on accusations that Aycock failed to effected the sale of the customer’s warrants. Financial Industry Regulatory Authority (FINRA)…

Daniel Thomas Gamache of Denver Colorado a stockbroker registered with UBS Financial Services Inc. and representative of IFAM Capital has been referenced in a customer initiated investment related written complaint on July 9, 2018 where the customer requested $86,000.00 in damages founded on allegations that Gamache made unsuitable recommendations to the customer concerning mutual funds…

Bryon Leonel Reyes of Lafayette Louisiana a stockbroker formerly employed by UBS Financial Services Inc. has been discharged by the firm on April 26, 2018 supported by allegations that (1) Reyes failed to inform UBS about his outside business activities and investments after Reyes had already been reprimanded by the firm for his non-disclosures and…

James Arthur Kujawski of Annapolis Maryland a stockbroker formerly employed by UBS Financial Services Inc. has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in private securities transactions and outside business activities. Letter of…

Michael Patrick Roche of Grand Blanc Michigan a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested up to $499,000.00 in damages founded on accusations that (1) misrepresentations had been made to the customer concerning a variable annuity and (2) annuity…

Melanie Haning of Las Vegas Nevada a stockbroker formerly registered with UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Haning failed to provide information to FINRA after it was formally requested of her. Case No. 2017056399901 (Apr. 12, 2018)….

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly employed by UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his involvement in private securities transactions…

John C. Maccoll a stockbroker registered with UBS Financial Services in Birmingham, Michigan was charged by the United States Securities & Exchange Commision with the theft of over 4 million from his clients. Maccoll purportedly solicited his brokerage customers to invest in a purported private, alternative, hedge-type fund that Maccoll claimed was highly-profitable. The purported fund…

Greg Grajek of San Diego California a stockbroker employed by UBS Financial Services Inc. is the subject of a customer initiated investment related civil action where the customer sought $9,049.78 in damages supported by accusations of the failure to follow the customer’s instructions concerning penny stock investments which led to the customer’s positions having been…

Dwight Clyde West of Lone Tree Colorado a stockbroker and financial advisor currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $500,000.00 in damages founded on allegations that between 2008 and 2017: (1) unsuitable investment recommendations had been made to the…

Michael Monatlik of Beverly Hills California a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $50,000.00 in damages founded on allegations that between May of 2011 and February of 2018, Monatlik (1) recommended master limited partnership and municipal bond investments that…

Paul William Murans (also known as Peace Murans) a stockbroker formerly employed by UBS Financial Services Inc. has been discharged by the firm on October 10, 2017 founded on accusations that Murans (1) failed to apprise the firm about being subject of a customer compliant (2) executed unapproved life-settlement transactions away from the firm and…

Russell G. Cappelen Jr. of Vero Beach Florida a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint which settled for $14,658.37 in damages founded on accusations that Cappelen effected mutual fund transactions that were not appropriate for the customer because the investments failed to…

Martin Joseph Hare of Oakbrook Illinois a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on April 6, 2018 where the customer sought more than $5,000.00 in damages based upon allegations that between January 27, 2017 and March 16, 2018, Hare was poorly advised…

John Matthew Kurzhal of Minneapolis Minnesota a stockbroker formerly employed by UBS Financial Services Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he neglected to provide FINRA with a response to its request for information concerning Kurzhal’s business activities. Case No. 2018056841201…

Steven Harman Mogul of Northbrook Illinois a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on March 30, 2018 where the customer sought $36,923.25 in damages founded on accusations that between March 21, 2014 and February 27, 2018, Mogul (1) breached his fiduciary obligation…

Mark S. Katz of Houston Texas a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $866,000.00 in damages supported by allegations that (1) unsuitable recommendations had been made to the customer concerning investment reallocations and (2) misrepresentations were made…

John Robert Morris of Warren New Jersey a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $1,300,000.00 in damages founded on allegations that between 2011 and 2015, energy sector investments and municipal bonds had been misrepresented to the customer…

Kimball Stanley Bullard of Boston Massachusetts a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $25,000.00 in damages supported by accusations that Bullard misrepresented the fees for investment advisory services and overcharged the customer. Letter of Acceptance Waiver and…

Arlo Bryan Sullivan of San Luis Obispo California a stockbroker formerly registered with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $843,000.00 in damages based upon accusations including (1) elder abuse (2) mismanagement of the customer’s account (3) negligence (4) misrepresentation (5) breach of…

Christopher Mitchell Meyers of Plano Texas a stockbroker registered with UBS Financial Services Inc. has been terminated by the firm on August 10, 2016 founded on allegations that he (1) improperly corresponded with customer concerning tax matters (2) effected unauthorized trades in a customer’s account (3) exercised discretion in two investment accounts that were not…

John Cochran Maccoll of Birmingham Michigan a stockbroker formerly employed by UBS Financial Services Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations of his failure to provide FINRA personnel with a response to its request for Maccoll’s information. FINRA Case No. 2018057662601 (Apr….

James Arthur Kujawski of Annapolis Maryland a stockbroker employed by UBS Financial Services Inc. has been discharged by the firm on February 20, 2018 based upon accusations that Kujawski violated the company’s policy by failing to disclose his outside investments and outside business activities. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Kujawski has…

Norman Weaver Jr of Seattle Washington a stockbroker formerly registered with UBS Financial Services Inc. has been terminated from employment on September 6, 2016 founded on accusations that he helped facilitate meetings between customers of the firm and a person who was not affiliated with UBS Financial Services Inc. nor associated with any other brokerage…

Page 1 of 21 2