Kenneth Stewart Tyrrell, of Vienna, Virginia, a stockbroker registered with UBS Financial Services Inc., was terminated from employment on August 8, 2016, based upon allegations that he engaged in private securities transactions and outside business activities without having disclosed them to UBS Financial Services Inc. or retrieving approval from the firm; conduct violative of UBS policies. Further, UBS alleged that conflicts of interest concerning Tyrrell’s wife’s business affairs with a UBS customer were never disclosed to the firm by Tyrrell.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Tyrrell has been named in two customer initiated investment related disputes regarding allegations of his wrongdoing while associated with his former employer, First Union Securities, Inc., wherein customers’ claims were based upon allegations that Tyrrell effected unsuitable and unauthorized transactions in their investment accounts.
Since August 25, 2016, Tyrrell has been registered with Cary Street Partners.
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