UBS

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Sherry Rowland
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Sherry Rowland 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Plano, Texas) Sherry Rowland Investigation Summary Here’s what you need to know about Plano, Texas, stockbroker Sherry Rowland: Name: Sherry Rowland Current Employer: UBS Financial Services…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Marc Haggar
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Marc Haggar 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Dallas, Texas) Marc Haggar Investigation Summary Here’s what you need to know about Dallas, TX, stockbroker Marc Haggar: Name: Mr. Marc Edgar Haggar Current Employer: UBS…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker David Ray Barnes
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker David Ray Barnes 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Dallas, Texas) David Barnes Investigation Summary Here’s what you need to know about Dallas, TX, stockbroker David Barnes: Name: Mr. David R. Barnes Current Employer: UBS…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Gretchen Hargroder
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Gretchen Hargroder 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Beaumont, Texas) Gretchen Hargroder Investigation Summary Here’s what you need to know about Beaumont, TX, stockbroker Gretchen Hargroder: Name: Gretchen Elaine Hargroder Current Employer: UBS Financial…

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  • ER

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA  According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute The Financial Industry…

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  • ER

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

Robert Turner Investigation March  2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr.  , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 7…

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  • ER

Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL
Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL 150 150 ER

Jim Driggers Investigation July 2022-Sarasota, FL According to publicly available records Jimmy Yang Driggers a currently unregistered broker who was previously with Morgan Stanley ,  discloses a prior customer dispute…

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  • ER

Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ
Richard “Rick” Whalen- UBS Financial Broker- Discloses Settlement of Customer Dispute Over Energy Investments -Phoenix, AZ 150 150 ER

Richard “Rick” Whalen Investigation April 2022- Phoenix, AZ According to publicly available records,  Richard J. Whalen,  a UBS Financial Services, Inc., broker discloses a customer dispute. The Financial Industry Regulatory…

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  • ER

Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD
Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD 150 150 ER

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago,  a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

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