Tag Archives: William Jeffrey Carlton

UBS Accused By Investors of Churning

William Jeffrey Carlton of Vienna Virginia a stockbroker currently employed by UBS Financial Services Inc. is referenced in a customer initiated investment related complaint which was resolved for $657,998.24 in damages on May 24, 2017 founded on allegations that between January 4, 2016 and February 23, 2017: (1) excessive exchange traded fund trades were executed […]

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UBS Financial Services Named In FINRA Securities Arbitration

February 01, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

William Jeffrey Carlton, of Vienna, Virginia, a stockbroker currently registered with UBS Financial Services Inc., has been named in a customer initiated investment related arbitration claim on November 10, 2016, in which the customer requested $525,000.00 in damages based upon allegations that Carlton effected unsuitable equity and limited partnership interest transactions in the customer’s account, […]

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