Tag Archives: William David Hobby

Investors Sue UBS Financial Services For Unauthorized Trading

April 23, 2020  |   Posted by :   |   Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue UBS Financial Services For Unauthorized Trading

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 […]

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UBS Stockbroker Discharged For Unauthorized Trading

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 […]

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