Tag Archives: Victor Lee

UBS Financial Services Stockbroker Barred For Outside Business Activity

January 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Victor Lee, of New York, New York, a stockbroker formerly registered with UBS Financial Services Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in an outside business activity which was not authorized by his firm, and falsified […]

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