Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Maryland-based UBS Financial Services broker/adviser John Young has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Young (CRD# 2626571). John Young has spent 23 years in…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that a group of investors have won an award of $300,000 in an arbitration claim against UBS Financial Services concerning investments in Puerto Rico closed-end funds. According to the award document, the investors filed a claim in…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2018 indicate that Virginia-based UBS Financial Services broker/adviser Michael Kemp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kemp (CRD# 2409599). Michael Kemp has spent 24 years in…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Florida-based UBS Financial Services broker/adviser Alex Herrera has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Washington-based UBS Financial Services broker/adviser John Greene has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greene (CRD# 1871171). John Greene has spent 27 years in the securities…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 23, 2018 indicate that Florida-based UBS Financial Services broker/adviser Russell Cappelen has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cappelen (CRD# 1261781). Russell Cappelen has spent 34 years in the…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Virginia-based UBS Financial Services broker/adviser John Saunders has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Saunders (CRD# 870131). John Saunders has spent 24 years in the securities…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 1, 2018 indicate that Texas-based UBS Financial Services broker/adviser Edward Ashbaugh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ashbaugh (CRD# 2213744). Edward Ashbaugh has spent 26 years in the securities…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that Maine-based UBS Financial Services broker/adviser Helen Andreoli is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Andreoli (CRD# 4211137). Helen Andreoli has spent 17 years…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Florida-based UBS Financial Services broker/adviser Adam Fetterman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fetterman (CRD# 2053684). Adam Fetterman has spent 26 years in…

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