Tag Archives: UnionBanc Investment Services

FINRA Sanctions UnionBanc For Failure To Supervise

June 12, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Variable Annuites   |   Comments Off on FINRA Sanctions UnionBanc For Failure To Supervise

UnionBanc Investment Services LLC a securities broker dealer headquartered in Glendale California has been censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings that UnionBanc failed to supervise its variable annuity transactions. Letter of Acceptance Waiver and Consent No. 2019062972401 (May 5, 2021). According to the AWC, between January of 2016 […]

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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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