Articles Tagged with UBS Financial Services

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Melinda Abood

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that New York-based UBS Financial Services broker/adviser Melinda Abood has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Abood (CRD# 867463).

Melinda Abood has spent 36 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 1986, She was previously registered with Shearson Lehman Hutton (1981-1986). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 18, 1982; Series 15 (Foreign Currency Options Examination), which she obtained on July 6, 1990; Series 5 (Interest Rate Options Examination), which she obtained on October 17, 1981; and Series 7 (General Securities Representative Examination), which she obtained on June 16, 1979. She is a registered broker and investment adviser with 27 US states and territories and nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received three customer complaints and one pending customer complaint.

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Steven CooperPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former California-based UBS Financial Services broker/adviser Steven Cooper was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cooper (CRD# 4879645).

Steven Cooper has spent six years in the securities industry and was most recently registered with UBS Financial Services in Century City, California (2014-2017). He was previously registered with Edward Jones in Beverly Hills, California (2012-2014). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 3, 2010, and Series 7 (General Securities Representative Examination), which he obtained on November 18, 2010. Mr. Cooper is currently not registered with any state or firm, nor with any self-regulatory organization (SRO).

According to his BrokerCheck report, Steven Cooper was discharged from his former employer in connection to alleged rule violations.

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Mark Namvary

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Maryland-based UBS Financial Services broker/adviser Mark Namvary is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Namvary (CRD# 2223372).

Mark Namvary has spent 21 years in the securities industry and has been registered with UBS Financial Services in Baltimore, Maryland since 2002. Previous registrations include Deutsche Bank Securities in New York, New York (2001-2002); DB Alex Brown in Baltimore, Maryland (1997-2001); and Alex Brown & Sons Incorporated (1995-1997). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 23, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 6, 1996; Series 7 (General Securities Representative Examination), which he obtained on August 29, 1995; Series 24 (General Securities Principal Examination), which he obtained on September 17, 1999; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 13, 1999; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 13, 1999; and Series 4 (Registered Options Principal Examination), which he obtained on September 3, 1999. He is a registered broker and investment adviser with 24 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Kentucky, Maryland, Massachusetts, Montana, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Vermont, Virginia, Washington, West Virginia and Wyoming. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

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Samuel RankinPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that North Carolina-based UBS Financial Services broker/adviser Samuel Rankin has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rankin (CRD# 811491).Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that North Carolina-based UBS Financial Services broker/adviser Samuel Rankin has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rankin (CRD# 811491).

Samuel Rankin has spent 42 years in the securities industry and has been registered with UBS Financial Services in Charlotte, North Carolina since 2009. Previous registrations include Citigroup Global Markets in Charlotte, North Carolina (1993-2009); Lehman Brothers in New York, New York (1988-1993); EF Hutton & Company (1987-1988); Dean Witter Reynolds (1978-1987); and Reynolds Securities (1975-1978). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 22, 1991; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1988; PC (AMEX Put and Call Exam), which he obtained on October 8, 1987; Series 15 (Foreign Currency Options Examination), which he obtained on June 26, 1985; Series 5 (Interest Rate Options Examination), which he obtained on December 11, 1982; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1975; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 3, 1988. He is a registered broker and investment adviser with 30 US states and territories and nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received three customer complaints and two pending customer complaints.

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Mark GeistPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 15, 2017 indicate that Nebraska-based UBS Financial Services broker/adviser Mark Geist has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Geist (CRD# 4899865).

Mark Geist has spent 12 years in the securities industry and has been registered with UBS Financial Services in Lincoln, Nebraska since 2008. Previous registrations include Morgan Stanley & Company in Lincoln, Nebraska (2007-2008) and Morgan Stanley DW in Lincoln, Nebraska (2005-2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 11, 2005; Series 31 (Futures Managed Funds Examination), which he obtained on February 25, 2005; and Series 7 (General Securities Representative Examination), which he obtained on January 27, 2005. He is a registered broker and investment adviser with 36 US states and territories. He is registered with nine self-regulatory organizations: BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

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David WatkinsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 14, 2017 indicate that Connecticut-based UBS Financial Services broker/adviser David Watkins has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Watkins (CRD# 1043375).

David Watkins has spent 29 years in the securities industry and has been registered with UBS Financial Services in Stamford, Connecticut since 2004. Previous registrations include Garban Corporates in Jersey City, New Jersey (2003-2004); Garban LLC in Jersey City, New Jersey (1990-2002); and Garban Limited in Jersey City, New Jersey (1987-1990). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 10, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 2004; and Series 7 (General Securities Representative Examination), which he obtained on December 10, 2003. He is a registered broker and investment adviser with six US states: California, Connecticut, Florida, Massachusetts, New Jersey, and New York. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two unsatisfied judgments or liens.

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Jerome VandemotterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that Ohio-based UBS Financial Services broker/adviser Jerome Vandemotter is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Vandemotter (CRD# 1264877).

Jerome Vandemotter has spent 33 years in the securities industry and has been registered with UBS Financial Services in Pepper Pike, Ohio since 1993. He was previously registered with Merrill Lynch in New York, New York (1984-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 13, 1984; Series 31 (Futures Managed Funds Examination), which he obtained on June 17, 2003; and Series 7 (General Securities Representative Examination), which he obtained on May 19, 1984. He is a registered broker and investment adviser with 12 US states and territories: California, Florida, Georgia, Hawaii, Illinois, Massachusetts, New York, Ohio, Oregon, Pennsylvania, Utah, and Virginia. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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Benjamin Nussbaum
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2017 indicate that California-based UBS Financial Services broker/adviser Benjamin Nussbaum is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Nussbaum (CRD# 5736528).

Benjamin Nussbaum has spent six years in the securities industry and has been registered with UBS Financial Services in San Diego, California since 2012. He was previously registered with HD Vest Investment Services in Ventura, California. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 28, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 2010; Series 7 (General Securities Representative Examination), which he obtained on September 15, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 9, 2010. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Maryland, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, South Carolina, Texas, Utah, Washington and Wyoming. He is registered with eight self-regulatory organizations (SROs): the Chicago Board Options Exchange, FINRA, NSYE American LLC, NYSE Arca, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received a pending customer complaint.

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Richard ReylePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2017 indicate that New York-based UBS Financial Services broker/adviser Richard Reyle has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reyle (CRD# 2308785).

Richard Reyle has spent 24 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2012. He was previously registered with Merrill Lynch in New York, New York (1993-2012). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 52 US states and territories. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange, Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.

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Charles MarstonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Ohio-based UBS Financial Services broker/adviser Charles Marston has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marston (CRD# 320926).

Charles Marston has spent 47 years in the securities industry and has been registered with UBS Financial Services in Cleveland, Ohio since 1995. Previous registrations include Kidder Peabody in New York, New York and Clark Dodge & Company. He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); Series 4 (Registered Options Principal Examination); Series 12 (NYSE Branch Manager Examination); and Series 40 (Registered Principal Examination). He is a registered broker and investment adviser with 32 US states and territories. He is registered with nine self-regulatory organizations, including: the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Inc., Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.