Norman Weaver Jr of Seattle Washington a stockbroker formerly registered with UBS Financial Services Inc. has been terminated from employment on September 6, 2016 founded on accusations that he helped facilitate meetings between customers of the firm and a person who was not affiliated with UBS Financial Services Inc. nor associated with any other brokerage institution.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that a customer initiated investment related arbitration claim regarding Weaver’s conduct was settled for $70,000.00 in damages based upon allegations that the customer’s funds were placed in a real estate investment trust that was illiquid and unsuitable for the customer. FINRA Arbitration No. 17-00685 (Feb. 26, 2018).
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