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…
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…
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…