Articles Tagged with UBS Financial Services

Published on:

John GreenePublic records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Washington-based UBS Financial Services broker/adviser John Greene has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greene (CRD# 1871171).

John Greene has spent 27 years in the securities industry and has been registered with UBS Financial Services in Bellevue, Washington since 2014. Previous registrations include Merrill Lynch in Bellevue, Washington (2009-2014); Banc of America Investment Services in Bellevue, Washington (2006-2009); Wells Fargo Investments in Bellevue, Washington (2001-2006); Wells Fargo Securities in San Francisco, California (1997-2001); Essex National Securities in Napa, California (1993-1995); and Merrill Lynch in New York, New York (1988-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, Oregon, South Carolina, Texas, Utah, and Washington.

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

Published on:

Russell CappelenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 23, 2018 indicate that Florida-based UBS Financial Services broker/adviser Russell Cappelen has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cappelen (CRD# 1261781).

Russell Cappelen has spent 34 years in the securities industry and has been registered with UBS Financial Services in Vero Beach, Florida 1999. Previous registrations include New York, New York (1988-1999) and Merrill Lynch (1984-1988). He has received five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 6, 1984; Series 3 (National Commodity Futures Examination), which he obtained on January 5, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1984; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on July 25, 1994. He is a registered broker and investment adviser with 21 US states and territories: Alabama, California, Connecticut, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Michigan, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, and Virginia.

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

Published on:

John Saunders

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Virginia-based UBS Financial Services broker/adviser John Saunders has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Saunders (CRD# 870131).

John Saunders has spent 24 years in the securities industry and has been registered with UBS Financial Services in Roanoke, Virginia since 2007. Previous registrations include Citigroup Global Markets in Roanoke, Virginia (2006-2007); Legg Mason Wood Walker in Baltimore, Maryland (2004-2006); T. Rowe Price Investment Services in Baltimore, Maryland (2001-2002); Pruco Securities Corporation in Newark, New Jersey (1998-2001); Fidelity Distributors in Smithfield, Rhode Island (1984-1989); and Fidelity Distributors Corporation (1979-1981). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 8, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 23, 1998; Series 7 (General Securities Representative Examination), which he obtained on October 5, 1998; Series 1 (Registered Representative Examination), which he obtained on August 11, 1979; and Series 24 (General Securities Principal Examination), which he obtained on October 7, 1998. He is a registered broker and investment adviser with 33 US states and territories.

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

Published on:

Edward Ashbaugh

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 1, 2018 indicate that Texas-based UBS Financial Services broker/adviser Edward Ashbaugh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ashbaugh (CRD# 2213744).

Edward Ashbaugh has spent 26 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2008. Previous registrations include Morgan Stanley & Company in Houston, Texas (2007-2008) and Morgan Stanley DW in Houston, Texas (1992-2007). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 26, 1992, and Series 7 (General Securities Representative Examination), which he obtained on March 20, 1992. He is a registered broker and investment adviser with with eight US states: Florida, Georgia, Montana, North Carolina, Oregon, South Carolina, Tennessee, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange, CBOE Exchange, FINRA, NSYE American, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Published on:

Helen AndreoliPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that Maine-based UBS Financial Services broker/adviser Helen Andreoli is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Andreoli (CRD# 4211137).

Helen Andreoli has spent 17 years in the securities industry and has been registered with UBS Financial Services in Portland, Maine since 2011. Previous registrations include Merrill Lynch in Portland, Maine (2006-2011) and Morgan Stanley DW in Purchase, New York (2000-2006). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on July 21, 2000; Series 7 (General Securities Representative Examination), which she obtained on August 3, 2000; Series 31 (Futures Managed Funds Examination), which she obtained on July 25, 2000; Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on June 16, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on June 16, 2003 . She is a registered broker and investment adviser with 26 US states and territories and with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe 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 her BrokerCheck report, she has received one pending customer complaint.

Published on:

Lawrence FannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Arizona-based UBS Financial Services broker/adviser Lawrence Fann has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fann (CRD# 2199482).

Lawrence Fann has spent 26 years in the securities industry and has been registered with UBS Financial Services in Phoenix, Arizona since 2016. Previous registrations include RBC Capital Markets in Phoenix, Arizona (1999-2016); Piper Jaffray in Minneapolis, Minnesota (1994-1999); and Prudential Securities in New York, New York (1992-1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 1, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 7, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on April 10, 2009; and Series 7 (General Securities Representative Examination), which he obtained on January 10, 1992. He is a registered broker and investment adviser with 20 US states and territories: Alaska, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Illinois, Maryland, Michigan, Missouri, Nevada, New Mexico, New York, Ohio, Oregon, Tennessee, Texas, Virginia, and West Virginia.

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

Published on:

Adam Fetterman

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Florida-based UBS Financial Services broker/adviser Adam Fetterman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fetterman (CRD# 2053684).

Adam Fetterman has spent 26 years in the securities industry and has been registered with UBS Financial Services in Boca Raton, Florida since 2009. Previous registrations include Wachovia Securities in Boca Raton, Florida (2003-2008); Prudential Securities in New York, New York (2000-2003); Salomon Smith Barney in New York, New York (2000); Painewebber in Weehawken, New Jersey (1997-2000); First Miami Securities in Boca Raton, Florida (1992-1997); MetLife Securities in Springfield, Massachusetts (1991-1992); and Metropolitan Life Insurance Company in New York, New York (1991-1992). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1992; Series 7 (General Securities Representative Examination), which he obtained on June 24, 1997; Series 52 (Municipal Securities Representative Examination), which he obtained on December 31, 1991; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 3, 1991. He is a registered broker and investment adviser with 32 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 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.

Published on:

Curtis BrownPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that Colorado-based UBS Financial Services broker/adviser Curtis Brown has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brown (CRD# 1087724).

Curtis Brown has spent 34 years in the securities industry and has been registered with UBS Financial Services in Colorado Springs and Breckenridge, California since 1990. He was previously registered with Merrill Lynch in New York, New York (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 13, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 11, 1983; Series 3 (National Commodity Futures Examination), which he obtained on February 21, 1991; Series 5 (Interest Rate Options Examination), which he obtained on January 26, 1983; Series 7 (General Securities Representative Examination), which he obtained on December 18, 1982; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on September 29, 1987. He is a registered broker and investment adviser with 29 US states and territories and 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 customer complaint and one pending customer complaint.

Published on:

James CarlsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that North Carolina-based UBS Financial Services broker/adviser James Carlson has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlson (CRD# 4134811).

James Carlson has spent 17 years in the securities industry and has been registered with UBS Financial Services in Greensboro, North Carolina since 2011. Previous registrations include Morgan Stanley Smith Barney in Greensboro, North Carolina (2009-2011); Morgan Stanley & Company in Greensboro, North Carolina (2007-2009); and Morgan Stanley DW in Greensboro, North Carolina (2000-2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 20, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 5, 2003; and Series 7 (General Securities Representative Examination), which he obtained on October 23, 2000. He is a registered broker and investment adviser with 24 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Utah, the Virgin Islands, West Virginia and Wyoming.

According to his BrokerCheck report, he has received one FINRA sanction.

Published on:

Christopher HemingsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Washington-based UBS Financial Services broker/adviser Christopher Hemingson has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hemingson (CRD# 1607358).

Christopher Hemingson has spent 19 years in the securities industry and has been registered with UBS Financial Services in Bellingham, Washington since 2006. He was previously registered with Piper Jaffray & Company in Bellingham, Washington (1998-2006). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 29, 1998; Series 31 (Futures Managed Funds Examination), which he obtained on April 21, 2004; Series 7 (General Securities Representative Examination), which he obtained on April 21, 1998; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 14, 200; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 30, 2000. He is a registered broker and investment adviser with eleven US states: Arizona, California, Hawaii, Iowa, Montana, Oregon, South Carolina, Texas, Virginia, Washington and Wisconsin. 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 two customer complaints and one pending customer complaints.