Articles Tagged with UBS Financial

John CarolynPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 1, 2017 indicate that Texas-based UBS Financial broker/adviser John Carolyn is the subject of several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carolyn (CRD# 4485799).

John Carolyn has spent fifteen years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2002. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (Securities Representative Examination). He is a registered broker and investment adviser with 23 US states and territories.

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

Brendan Shaw

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Arizona-based Purshe Kaplan Sterling Investments broker/adviser Brendan Shaw has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shaw (CRD# 4721215).

Brendan Shaw has spent twelve years in the securities industry and was most recently registered with Purshe Kaplan Sterling Investments in Scottsdale, Arizona (2012-2016). Previous registrations include Mutual Securities in Scottsdale, Arizona (2005-2012) and UBS Financial Services in Weehawken, New Jersey (2003-2006). He is currently not registered with any state or firm.

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

Victor Lee

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former New York-based UBS Financial Services broker/adviser Victor Lee has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lee (CRD# 5513482).

Victor Lee has spent three years in the securities industry and was most recently registered with UBS Financial Services in New York, New York (2012-2015). He was previously registered with Ameriprise Financial Services in Kew Gardens, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Victor Lee has been sanctioned by FINRA.

William BlountPublic records published by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that Oregon-based UBS Financial Services broker William Blount has been the subject of customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blount (CRD# 24046).

William Blount has spent 57 years in the securities industry and has been registered with UBS Financial Services in Portland, Oregon since 1980. Previous registrations include Blyth Eastman Dillon & Company (1972-1980) and Blyth & Company (1969-1972). He is a registered broker with 25 US states and territories.

According to his BrokerCheck report, William Blount has received two customer complaints and one regulatory sanction.

Angel CanabalPublic records provided by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that Puerto Rico-based UBS Financial Services broker Angel Canabal has been the subject of numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Canabal (CRD# 2180310).

Angel Canabal has spent 25 years in the securities industry and has been registered with UBS Financial Services in Mayaguez, Puerto Rico since 1998. He was previously registered with Merrill Lynch in New York, New York. He is a registered broker with Florida, New York, Pennsylvania, Puerto Rico, Texas and West Virginia.

According to his BrokerCheck report, Angel Canabal has received twenty customer complaints and 32 pending customer complaints.

John BocchinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that former New York-based UBS Financial Services broker/adviser John Bocchino is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bocchino (CRD# 2876260).

John Bocchino has spent seventeen years in the securities industry and was most recently registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Morgan Stanley in New York, New York (2009-2012); Citigroup Global Markets in New York, New York (2001-2009); and JP Morgan Securities in New York, New York (1998-2000). He is a registered broker and investment adviser with thirteen US states and territories: California, Colorado, Connecticut, Florida, Maryland, Massachusetts, Missouri, New York, North Carolina, Ohio, Puerto Rico, Texas, and Washington.

According to his BrokerCheck report, John Bocchino has been the subject of one customer complaint and one pending FINRA investigation. He was discharged from his position at Morgan Stanley and recently resigned from UBS Financial Services.

 Lori CousineauPublic records published by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that former Washington-based UBS Financial Services broker Lori Cousineau Weaver has been sanctioned by the State of Washington. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Cousineau Weaver (CRD# 1731464).

Lori Cousineau Weaver has spent 27 years in the securities industry and was most recently registered with UBS Financial Services in Renton, Washington (2015-2016). She was previously registered with Ameriprise Financial Services in Renton, Washington and IDS Life Insurance Company in Minneapolis, Minnesota. She is currently not registered with any state or firm.

According to her BrokerCheck report, Lori Cousineau Weaver has received one customer complaint and one regulatory sanction.

Jeffrey HowellPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 2, 2016 indicate that former Missouri-based UBS Financial Services broker Jeffrey Howell has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Howell (CRD# 4561368).

Jeffrey Howell has spent twelve years in the securities industry and was most recently registered with UBS Financial Services in Chesterfield, Missouri (2002-2014). He has no previous registrations. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeffrey Howell has received one regulatory sanction and one pending customer complaint.

Milton HelmPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Florida-based UBS Financial Services broker Milton Helm has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Helm (CRD# 861834).

Milton Helm has spent 37 years in the securities industry and has been registered with UBS Financial Services in Orlando, Florida since 2005. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland; Prudential Securities in New York, New York; and Merrill Lynch in New York, New York. He is a registered broker with five US states: California, Florida, Maryland, Minnesota, and Nevada.

According to his BrokerCheck report, Milton Helm has been the subject of two customer complaints.

Daniel RebmannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based UBS Financial Services broker/adviser Daniel Rebmann has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rebmann (CRD# 2254569).

Daniel Rebmann has spent 24 years in the securities industry and has been registered with UBS Financial Services in San Antonio, Texas since 2011. Previous registrations include Merrill Lynch in San Antonio, Texas; Banc One Securities in Chicago, Illinois; and Edward D. Jones & Company in St Louis, Missouri. He is a registered broker and investment adviser with 14 US states and territories: Arkansas, California, Colorado, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Missouri, New Hampshire, North Carolina, Ohio, Texas, and Washington. Continue Reading