UBS again faced adverse FINRA awards as Robert Wayne Pearce secured $5,887,498, $552,000, and $764,000 for investors nationwide. One case involved overconcentration in Puerto Rico muni bonds; another, a leveraged oil-and-gas account and margin-call liquidations. In the Tesla matter, advisors ignored instructions to implement a zero-cost collar, triggering damages, fees, and 10% interest, plus costs.
Continue ReadingPablo Gherardi (CRD #4602689) who was formerly registered as a broker with Jeffries LLC and located in Miami, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Pablo Leonel Gherardi has extensive experience in the securities industry, starting in 2003. Over his career, he has been employed as a registered broker with firms such as Prudential Securities Incorporated, Wells Fargo Advisors, and Jefferies LLC. His tenure at Wells Fargo lasted from 2003 to 2016, and he worked at Jefferies from 2017 to 2024 before being discharged. Pablo has passed three general industry/product exams and two multi-state securities law exams but has not completed any principal/supervisory exams. However, he is not currently registered with any firm. His career notably includes two terminations related to allegations of professional misconduct. • On November 1, 2024, he was discharged from Jefferies LLC, following allegations of facilitating impermissible money-transfer wires and using off-channel business communications, which were later deleted. • On November 9, 2016, he was discharged from Wells Fargo Advisors following allegations concerning the sale of offshore investment products and inconsistencies in associated paperwork.
Continue ReadingCasey Arundel who was formerly registered as a broker with UBS Financial Services Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Casey M. Arundel has over a decade of experience in the financial industry, having been previously employed as a registered broker with LPL Financial LLC (October 2013–February 2014), Merrill Lynch, Pierce, Fenner & Smith Inc. (February 2014–May 2015), and UBS Financial Services Inc. (May 2015–December 2024) He passed four industry exams, including the Series 7 and Series 66, but no principal or supervisory qualifications. However, as of December 2024, he is not currently registered as a broker. Mr. Arundel’s registration with UBS was terminated on November 11, 2024, following allegations that he traded without authorization in client accounts and failure to provide transparency during the firm’s investigation.
Continue ReadingWilliam W. Brown (CRD #6522004) who was formerly registered as a broker with UBS Financial Services Inc. and located in Weehawken, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. William Walker Brown has a professional background in the securities industry with experience spanning multiple firms. He was employed by UBS Financial Services Inc. from October 2017 to November 2024 where he worked in their Weehawken New Jersey and Memphis, Tennessee offices as a registered broker and investment adviser. He is currently registered with Kestra Investment Services, LLC as a registered broker, and Kestra Private Wealth Services, LLC as an investment adviser since December 17, 2024. He has passed two general industry/product exams and one multi-state securities law exam. His licenses include registrations in 24 U.S. states and territories. His employment history shows a mix of financial roles and other professional engagements, demonstrating a diverse background. William Walker Brown was discharged from UBS on November 6, 2024, following allegations of breaching firm policies. The reported violation involved taking instructions from an unauthorized relative on a client account, emphasizing the importance of adhering to firm and regulatory standards.
Continue ReadingMark Joffrion (CRD #2263889) who was formerly registered as a broker with UBS Financial Services Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Mark R. Joffrion has over three decades of experience in the financial industry, having worked at four prominent firms since 1992: UBS Financial Services Inc. (2015-2024), Morgan Stanley (2009-2015), Citigroup Global Markets Inc. (1993-2009), and Lehman Brothers Inc. (1992-1993). He passed three general industry/product exams and two multi-state securities law exams, including Series 7 and Series 65 exams. Termination: UBS terminated Joffrion’s employment after an internal review determined he had traded securities in his personal account while possessing non-public information, violating firm policy.
Continue ReadingDeborah Jackman (CRD #2799705) , located in Seattle, Washington, is currently employed with UBS Financial Services Inc. where she has been registered since July 1997. She holds registrations with 10 self-regulatory organizations (SROs) and is licensed in 15 U.S. states and territories. Over her career, she has passed three principal/supervisory exams, two general industry/product exams, and two multi-state securities law exams. Her qualifications include Series 7 (General Securities Representative) and Series 65 (Uniform Investment Adviser Law Examination). Ms. Jackman has not been registered with any other securities firm prior to UBS Financial Services Inc. She has been actively involved in providing financial advisory services and has demonstrated expertise in securities sales supervision.
Continue ReadingRobert Mueller (CRD #2647227) , located in Houston, Texas, is currently employed with UBS Financial Services Inc., registered since January 14, 2009. He has previously worked with prominent firms including Morgan Stanley & Co. Incorporated and Goldman, Sachs & Co. Throughout his career, Mueller has passed three general industry/product exams and two multi-state securities law exams. He is registered with one Self-Regulatory Organization (SRO) and is licensed in one U.S. state. Mueller’s registration history reflects a substantial career in major financial hubs and a consistent affiliation with UBS Financial Services Inc. for over a decade.
Continue ReadingDID DANIEL J FUSCO CAUSE YOU INVESTMENT LOSSES? Daniel Fusco Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Daniel Fusco Customer Complaint and Reviews Allegations Against Daniel Fusco These sections outline the significant and concerning aspects of Fusco’s career. Daniel Fusco Red Flags & Your Rights As An Investor Of course, Daniel Fusco did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Fusco at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Fusco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Daniel Fusco If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Daniel Fusco and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Continue ReadingJason Pirnie Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Mr. Pirnie (CRD #2878458) who was formerly registered with UBS Financial Services Inc. and located in Boston, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Jason Pirnie was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingJose Cornide, Jr. Formerly With UBS Financial Services Inc. Has 13 Customer Complaints For Alleged Broker Misconduct Jose Cornide, Jr. (CRD #2785918) who was formerly registered with UBS Financial Services Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Jose Cornide, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
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