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Category: UBS Financial Services, Inc.

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Financial Advisor Robert Turner Has Four Disclosed Customer Complaints

Robert Earl Turner (CRD#: 2113736) was previously dually registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1991 and previously worked for Stifel, Nicolaus & Company, Inc; UBS Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

SEC Files Enforcement Action Against German Nino For Alleged $5.8 Million Theft

German Nino (CRD#: 2653707) is a previously registered Broker and previously registered Investment Advisor at UBS Financial Services. Broker’s Background He entered the securities industry in 1995 and previously worked for UBS Financial Services, Inc.; HSBC Securities (USA), Inc.; Atlas One Financial Group, LLC; A.G. Edwards & Sons, Inc.; and Merrill Lynch, Pierce, Fenner & […]

Complaint Pending Against UBS Financial Services Investment Advisor Richard “Rick” Whalen Alleging Unsuitability

Richard “Rick” Whalen (CRD#: 1097944) is an Investment Advisor at UBS Financial Services in Phoenix, AZ. He entered the securities industry in 1983 and previously worked for Citigroup Global Markets, Inc.; Kidder, Peabody & Co., Inc; Westamerica Investment Group; RL Kotrozo, Inc.; and Plenge Thomas & Nofer, Inc. According to publicly available records released by […]

Fired UBS Financial Advisor, Nicolas Barrios, Barred By FINRA After Investigation Into Whether He Committed Fraud

Nicolas Barrios is a former Financial Advisor at UBS Financial Services in Winter Haven, Florida.  Nicolas Barrios entered the securities industry in 1991 and previously worked at Wachovia Securities.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 25, 2019, UBS terminated Nicolas Barrios “after stating during Firm review: […]

FINRA Fines And Suspends UBS Financial Advisor, Richard D. Niemann, For Exercising Discretion In Customer Accounts Without Authorization

Richard D. Niemann is currently a Financial Advisor at UBS Financial Services Inc. in its Sugar Land, Texas branch office.  Richard Niemann has been in the securities industry since 1971, and previously worked at Merrill Lynch, Lehman Brothers and Salomon Smith Barney. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Former UBS Financial Services Broker, William Hobby, Has Had Twenty-Three Customer Complaints During His Career

The Wolper Law Firm is currently investigating claims against William Hobby, a former Financial Advisor at UBS Financial Services in Atlanta, Georgia.  William Hobby has been in the securities industry since 1992 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Hobby has disclosed […]

UBS Broker, Dwight West, Has Pending Customer Complaint, Alleging Unsuitable Recommendations To An Elderly Client

The Wolper Law Firm is currently investigating claims against Dwight West, a Financial Advisor at UBS in Lone Tree, Colorado.  Dwight West has been in the securities industry since the 1980s and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 24, 2018, the […]

INVESTOR ALERT—UBS Financial Services Broker, Alex Herrera, Barred By FINRA For Allegedly Selling Away

The Wolper Law Firm is currently investigating claims against Alex Herrera, a former Financial Advisor at UBS Financial Services in Coral Cables, Florida (Miami).  Alex Herrera has been in the securities industry since 1999 and previously worked for HSBC Securities and Atlas One Financial Corp. According to publicly available records released by the Financial Industry […]

INVESTOR ALERT—Complaints Continue To Roll In Against former UBS Broker, John Maccoll, Who Was Barred By FINRA

The Wolper Law Firm is currently investigating claims against John Maccoll, a former Financial Advisor at UBS Financial Services in Birmingham, Michigan.  John Maccoll has been in the securities industry since the 1970s and previously worked for Morgan Stanley According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 29, […]