Articles Tagged with UBS Financial Services

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Joseph Caselle

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that California-based UBS Financial Services broker/adviser Joseph Caselle has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caselle (CRD# 2277521).

Joseph Caselle has spent 24 years in the securities industry and has been registered with UBS Financial Services in Walnut Creek, California since August 2017. Previous registrations include Merrill Lynch in Walnut Creek, California; Banc of America Investment Services in Walnut Creek, California; WM Financial Services in Irvine, California; ASB Financial Services in Irvine, California; Wells Fargo Securities in San Francisco, California; ASB Financial Services in Irvine, California; Great Western Financial Services in Northridge, California; and Griffin Financial Services. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker with 17 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Illinois, Michigan, Nevada, New Hampshire, New Mexico, New York, North Carolina, North Dakota, Oregon, South Carolina, Virginia and Washington.

According to his BrokerCheck report, Joseph Caselle has received one customer complaint.

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Paul WishingradPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 12, 2017 indicate that California-based UBS Financial Services broker/adviser Paul Wishingrad has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wishingrad (CRD# 4634466).

Paul Wishingrad has spent 32 years in the securities industry and has been registered with UBS Financial Services in Beverly Hills, California since 2009. Previous registrations include Citigroup Global Markets in Los Angeles, California (2004-2009); Credit Suisse First Boston in New York, New York (2003-2004); Donaldson Lufkin & Jenrette Securities Corporation in Jersey City, New Jersey (1998-2003); CIBC Corporation in New York, New York (1994-1998); and Kidder Peabody & Company in New York, New York (1984-1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with ten US states and territories: California, Connecticut, Georgia, Illinois, Massachusetts, New Jersey, New York, Oregon, Tennessee, and Washington.

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

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Richard VincentPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 30, 2017 indicate that New Jersey-based UBS Financial Services broker/adviser Richard Vincent has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vincent (CRD# 1091826).

Richard Vincent has spent 34 years in the securities industry and has been registered with UBS Financial Services in Florham Park, New Jersey since 2010. Previous registrations include Morgan Stanley Smith Barney in Florham Park, New Jersey; Citigroup Global Markets in Florham Park, New Jersey; Oppenheimer & Company in New York, New York; CIBC World Markets Corporation in New York, New York; Lehman Brothers in New York, New York; and Lehman Brothers Kuhn Loeb. 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 19 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Indiana, Iowa, Maine, Maryland, Massachusetts, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Texas, Vermont, Virginia and Washington.

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

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Lorenzo EstevaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that Florida-based UBS Financial Services broker/adviser Lorenzo Esteva has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Esteva (CRD# 2170595).

Lorenzo Esteva has spent 25 years in the securities industry and was most recently registered with UBS Financial Services in Miami, Florida (2015-2017). He was previously registered with Merrill Lynch in Miami, Florida (1991-2015). Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and was terminated from his former employer.

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Matthew HolmesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that Texas-based UBS Financial Services broker/adviser Matthew Holmes has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holmes (CRD# 2711571).

Matthew Holmes has spent 18 years in the securities industry and has been registered with UBS Financial Services in Dallas, Texas since 2011. Previous registrations include Wells Fargo Advisors in Dallas, Texas; Merrill Lynch in Dallas, Texas; and Charles Schwab & Company in San Francisco, California. He has passed three securities industry examinations: Series 66 (Uniform Combined State 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 twelve US states and territories: Arizona, California, Connecticut, Florida, Georgia, Mississippi, Nevada, New York, Oklahoma, South Carolina, Texas and Wisconsin.

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

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James CainPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that California-based UBS Financial Services broker/adviser James Cain has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cain (CRD# 1690894).

James Cain has spent 29 years in the securities industry and has been registered with UBS Financial Services in Beverly Hills, California since 2011. Previous registrations include Merrill Lynch in Los Angeles, California; Banc of America Investment Services in Los Angeles, California; Prudential Securities in New York, New York; Painewebber in Weehawken, New Jersey; and Dean Witter Reynolds in Purchase, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Delaware, Idaho, Montana, Nevada, Oregon, Washington and Wisconsin.

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

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James Rose

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2017 indicate that former New York-based UBS Financial Services broker/adviser James Rose has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rose (CRD #4842996).

James Rose has spent nine years in the securities industry and was most recently registered with UBS Financial Services in New York, New York (2005-2015). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, James Rose has been sanctioned by FINRA and was discharged from a former employer.

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David Mack

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 24, 2017 indicate that New Jersey-based UBS Financial Services broker/adviser David Mack has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mack (CRD# 2689029).

David Mack has spent nineteen years in the securities industry and has been registered with UBS Financial Services in Mt. Laurel, New Jersey since 2009. Previous registrations include Citigroup Global Markets in Lawrenceville, New Jersey and Morgan Stanley DW in Purchase, New York. Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 31 (Futures Managed Funds Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 24 US states and territories.

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

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Federico LopezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 17, 2017 indicate that Puerto Rico-based UBS Financial Services broker/adviser Federico Lopez has been the subject of dozens of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lopez (CRD# 874041).

Federico Lopez has spent 37 years in the securities industry and has been registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico since 1991 and UBS Financial Services in San Juan, Puerto Rico since 1980. He was previously registered with Bache Halsey Stuart (Pan American) from 1979-1980. He is a registered broker with Puerto Rico and Florida.

According to his BrokerCheck report, he has received 15 customer complaints and 28 pending customer complaints.

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David James

Public records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that former California-based UBS Financial Services broker/adviser David James has been named in several resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. James (CRD# 1421651).

David James has spent thirty years in the securities industry and was most recently registered with UBS Financial Services in Century City, California (2011-2016). Previous registrations include Oppenheimer & Company in Los Angeles, California; CIBC World Markets in New York, New York; Kidder Peabody in New York, New York; Dean Witter Reynolds in Purchase, New York; and Merrill Lynch. He is currently not registered with any state or firm.

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