Articles Tagged with UBS Financial Services

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.

iStock_00000230608wallst-1-272x300Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Massachusetts-based UBS Financial Services broker Laurence Knowlton has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knowlton (CRD# 1383052).

Laurence Knowlton has spent 33 years in the securities industry and has been registered with UBS Financial Services in Boston, Massachusetts since 1995. Previous registrations include Kidder Peabody & Company in New York, New York (1993-1995) and Lehman Brothers in New York, New York (1985-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 31, 1995; Series 3 (National Commodity Futures Examination), which he obtained on September 3, 1995; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker with 34 US states and territories.

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

Michael RochePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Michigan-based UBS Financial Services broker/adviser Michael Roche has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roche (CRD# 1510313).

Michael Roche has spent 31 years in the securities industry and has been registered with UBS Financial Services in Grand Blanc, Michigan since 2005. Previous registrations include Merrill Lynch in New York, New York (1989-2005); Thomson McKinnon Securities (1986-1989); and First of Michigan Corporation (1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 19, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1986; Series 7 (General Securities Representative Examination), which he obtained on June 10, 1991; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 22, 2006; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on May 17, 2006. He is a registered broker and investment adviser with seven US states: California, Florida, Michigan, Minnesota, Ohio, Pennsylvania, and South Carolina.

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

https://images.unsplash.com/photo-1518316847866-651fbb917956?ixlib=rb-0.3.5&ixid=eyJhcHBfaWQiOjEyMDd9&s=9749566038e89683cba08ee3fb69dc02&w=1000&q=80Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based UBS Financial Services broker/adviser Patrick Donohue has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Donohue (CRD# 1029917).

Patrick Donohue has spent 36 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Merrill Lynch in New York, New York (1988-2012); Shearson Lehman Hutton (1988); EF Hutton & Company (1984-1988); and Merrill Lynch (1982-1984). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 2, 1982; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received four customer complaints and two unsatisfied judgments or liens.

debra bushman

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that New York-based UBS Financial Services broker/adviser Debra Bushman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mrs. Bushman (CRD# 870056).

Debra Bushman has spent 38 years in the securities industry and has been registered with UBS Financial Services in Garden City, New York since 2010. Previous registrations include Merrill Lynch in Garden City, New York (2006-2010); Janney Montgomery Scott in Garden City, New York (2003-2006); and Prudential Securities in New York, New York (1979-2003). She has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 2, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 28, 1984; Series 5 (Interest Rate Options Examination), which she obtained on January 20, 1995; Series 15 (Foreign Currency Options Examination), which she obtained on August 14, 1991; Series 7 (General Securities Representative Examination), which she obtained on August 18, 1979; Series 24 (General Securities Principal Examination), which she obtained on July 16, 1987; Series 53 (Municipal Securities Principal Examination), which she obtained on October 14, 1985; Series 4 (Registered Options Principal Examination), which she obtained on May 22, 1984; and Series 12 (NYSE Branch Manager Examination), which she obtained on December 26, 1981. She is a registered broker and investment adviser with 27 US states and territories.

According to her BrokerCheck report, she has received five customer complaints and one pending customer complaint.