In September 2022, nine firms in total were found by the United States Securities and Exchange Commission (SEC) to be out of compliance with the federal agency’s recordkeeping and supervision regulations. These companies include: Barclays Capital, Inc. Citigroup Global Markets, Inc. BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman Sachs & […]

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 […]

Edward Lubell (CRD#: 2449026) is a dually registered Broker and Investment Advisor at UBS Financial Services, Inc., in West Palm Beach, FL. Broker’s Background He entered the securities industry in 1994 and previously worked for Deutsche Bank Securities, Inc.; DB Alex Brown, LLC; and Alex Brown & Sons, Inc. Current And Past Allegations Of Conduct […]

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 & […]

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 […]

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: […]

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), […]

The Wolper Law Firm, P.A. 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 […]

The Wolper Law Firm, P.A. 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 Wolper Law Firm, P.A. 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 […]