Articles Tagged with UBS Financial Services

Robert MuellerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227).

Robert Mueller has spent 23 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2009. Previous registrations include Morgan Stanley & Company in Houston, Texas (2000-2009) and Goldman Sachs & Company in New York, New York (1995-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 24, 1995. He is registered with 22 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Illinois, Louisiana, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Washington, and Wisconsin.

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

Neil KonigsbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konigsberg (CRD# 1784265).

Neil Konigsberg has spent 30 years in the securities industry and has been registered with UBS Financial Services in San Francisco, California since 2008. Previous registrations include Lehman Brothers in San Francisco, California (2004-2008); Banc of America Investment Services in Boston, Massachusetts (2003-2004); Banc of America Securities in New York, New York (1999-2003); Merrill Lynch in New York, New York (1997-1999); The Boston Group in Los Angeles, California (1995-1997); AS Goldmen & Company in Red Bank, New Jersey (1994-1995); and Lehman Brothers in New York, New York (1987-1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1987. He is a registered broker and investment adviser with 12 US states: Arizona, California, Colorado, Connecticut, Florida, Illinois, Nevada, New Jersey, New York, Oregon, South Dakota, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange, FINRA, NYSE 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 one pending customer complaint and one denied customer complaint.

Brian Ballard

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Utah-based UBS Financial Services broker/adviser Brian Ballard has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ballard (CRD# 2131677).

Brian Ballard has spent 27 years in the securities industry and has been registered with UBS Financial Services in South Ogden, Utah since 2009. Previous registrations include Citigroup Global Markets in Ogden, Utah (1993-2009) and Lehman Brothers in New York, New York (1991-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 27, 1991. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Florida, Georgia, Idaho, Kansas, Maryland, Michigan, Minnesota, Montana, Nevada, New Mexico, Ohio, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, and Wyoming. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, NYSE American 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.

Paul WishingradPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2019 indicate that California-based UBS Financial Services broker/adviser Paul Wishingrad, who has received a customer dispute, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wishingrad (CRD# 1311357).

Paul Wishingrad has spent 34 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 Oppenheimer & Company in New York, New York (1994-1998); and Kidder Peabody & Company in New York, New York (1984-1994). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 8, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 22, 1986; and Series 7 (General Securities Representative Examination), which he obtained on October 20, 1984. He is a registered broker and investment adviser with 12 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Massachusetts, Nevada, New Jersey, New York, Oregon, Tennessee, and Washington.

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

John PencePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2019 indicate that Florida-based UBS Financial Services broker/adviser John Pence has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pence (CRD# 359667).

John Pence has spent 46 years in the securities industry and has been registered with UBS Financial Services in Jacksonville, Florida since 1980. Previous registrations include Kidder Peabody & Company (1978-1980); Paine Webber Jackson & Curtis (1980); and Kidder Peabody & Company (1972-1978). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 24, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; and Series 1 (Registered Representative Examination), which he obtained on March 14, 1972. He is a registered broker and investment adviser with 15 US states and territories: Arkansas, California, Florida, Georgia, Illinois, Maine, Massachusetts, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, and Virginia. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., 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 complaint.

Gregory RothPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that Florida-based UBS Financial Services broker/adviser Gregory Roth has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roth (CRD# 1672320).

Gregory Roth has spent 31 years in the securities industry and has been registered with UBS Financial Services in Fort Lauderdale, Florida since 2014. Previous registrations include Morgan Stanley in Plantation, Florida (2009-2014); Morgan Stanley & Company in Plantation, Florida (2007-2009); Morgan Stanley DW in Plantation, Florida (2007); Citigroup Global Markets in Hallandale, Florida (1994-2007); Merrill Lynch in New York, New York (1991-1994); Prudential Securities in New York, New York (1989-1991); Thomson McKinnon Securities in New York, New York (1987-1989); Shearson Lehman Hutton (1988); and the Stuart-James Company (1987). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 15, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on July 25, 1990; and Series 7 (General Securities Representative Examination), which he obtained on May 16, 1987. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Maryland, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, and Texas.

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

Michael DawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based UBS Financial Services broker/adviser Michael Dawson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dawson (CRD# 62907).

Michael Dawson has spent 44 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2015. Previous registrations include Deutsche Bank Securities in Houston, Texas (2013-2015); Merrill Lynch in Houston, Texas (2007-2013); UBS Financial Services in Houston, Texas (2002-2007); and Goldman Sachs & Company in New York, New York (1974-2002). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 11, 1982; PC (AMEX Put and Call Exam), which he obtained on July 27, 1977; and Series 1 (Registered Representative Examination), which he obtained on February 11, 1974. He is a registered broker and investment adviser with five US states: Arizona, New Jersey, New York, Tennessee, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., 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.

Luis Gonzalez

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that Puerto Rico-based UBS Financial Services broker Luis Gonzalez has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gonzalez (CRD# 2778967).

Luis Gonzalez has spent 22 years in the securities industry and has been registered with UBS Financial Services in San Juan, Puerto Rico since 2003. Previous registrations include Oriental Financial Services Corporation in San Juan, Puerto Rico (1999-2003) and PFS Investments in Duluth, Georgia (1996-1998). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 14, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 3, 1996. He is a registered broker wth four US states and territories: Florida, New York, Puerto Rico, and the Virgin Islands.

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

Alexander GrummanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2018 indicate that Alaska-based UBS Financial Services broker/adviser Alexander Grumman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grumman (CRD# 2724798).

Alexander Grumman has spent 22 years in the securities industry and has been registered with UBS Financial Services in Anchorage, Alaska since 2006. He was previously registered with Merrill Lynch in Anchorage, Alaska (1996-2006). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 1, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 1, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on June 24, 2010; Series 7 (General Securities Representative Examination), which he obtained on May 6, 1996; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 11, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 11, 2000. He is a registered broker and investment adviser with 22 US states and territories: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Illinois, Indiana, Louisiana, Michigan, Nebraska, Nevada, New York, North Carolina, Ohio, Oregon, Texas, Utah, the US Virgin Islands, Virginia, Washington, and Wyoming. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., 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 and one customer complaint that was closed.

Abraham MaghsoudiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2018 indicate that Texas-based UBS Financial Services broker/adviser Abraham Maghsoudi has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maghsoudi (CRD# 718726).

Abraham Maghsoudi has spent 37 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2010. Previous registrations include Morgan Stanley Smith Barney in Houston, Texas (2009-2010); Citigroup Global Markets in Houston, Texas (1997-2009); Prudential Securities in New York, New York (1994-1997); Painewebber in Weehawken, New Jersey (1994); Prudential Securities in New York, New York (1983-1994); Merrill Lynch (1982-1983); and Kelly Associates (1980-1981). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 19, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 26, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on October 13, 1989; and Series 7 (General Securities Representative Examination), which he obtained on October 18, 1980. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, the District of Columbia, Illinois, Indiana, Kansas, Louisiana, Massachusetts, Michigan, Missouri, Pennsylvania, South Carolina, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., 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, Abraham Maghsoudi has received one customer complaint and one denied customer complaint.