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Category UBS Financial Services, Inc.

UBS Financial Services Broker Ricardo Turlan Suspended by FINRA After Allegations He Exercised Discretion Without Authorization

June 16, 2021

Ricardo Turlan (CRD#: 4431836) was previously dually registered as a Broker and Investment Advisor at USB Financial Services, Inc. in San Antonio, TX. He entered the securities industry in 2001 and previously worked for BBVA Securities, Inc.; BBVA Compass Investment Solutions, Inc.; BBVA Investments, Inc.; and Citicorp Investment Services. According to publicly available records released…

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

March 14, 2021

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…

Former UBS Capital Financial Advisor, Ricardo Turlan, Has Three Customer Complaints Disclosed On His CRD Alleging Sales Practice Violations

September 3, 2019

Ricardo Turlan (CRD # 4431836) was a Financial Advisor at UBS Financial Services Inc. in San Antonio, TX.  Ricardo Turlan has been in the securities industry since 2001 and previously worked at BBVA Securities, Inc. and CitiCorp Investment Services.  He is not currently registered as a broker. According to publicly available records released by the…

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

June 13, 2019

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:…

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