Tag Archives: UnionBanc Investment Services

UnionBanc Investment Services Stockbroker Barred for Suspected Conversion

Alicia M. Moe, of Woodland Hills, California, a stockbroker with UnionBanc Investment Services, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that she failed to cooperate in a FINRA investigation into allegations that she may have committed the conversion of customer funds. […]

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UnionBanc Broker Suspended for Unauthorized Trading

Armen Bahadourian, a registered representative with UnionBanc Investment Services, LLC, was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacities for eighteen months in addition to being fined $10,000 and disgorged of $6,880.75 in commissions after consenting to findings that he executed fifteen unauthorized transactions in the accounts of […]

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