According to reports published on Reuters and elsewhere, UBS Financial Services has agreed to pay $15 million to settle charges by the Securities and Exchange Commission (SEC) involving sales practice violations. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding UBS Financial Services, especially if…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New Jersey-based Comprehensive Asset Management and Servicing broker/adviser Andrew Bodner has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bodner…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that former Puerto Rico-based UBS broker David Lugo has been the subject of more than one hundred resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Florida- and Massachusetts-based UBS Financial Services broker/adviser Allan Yarkin has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yarkin…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that Florida-based UBS Financial Services broker Brian Gold has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gold (CRD# 2336491). Brian…

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According to records provided by the Financial Industry Regulatory Authority (FINRA), former Texas-based Oppenheimer broker Zahir Walji is currently not registered to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walji (CRD# 5073186). Zahir Walji…

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The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based Merrill Lynch broker/adviser Benjamin Sax (CRD# 867486). Benjamin Sax has spent 36 years in the securities industry and has been registered with Merrill Lynch in New York, New York since January 2009. Previous registrations include UBS Financial Services…

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The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New Jersey-based Morgan Stanley broker/adviser Enrico Caiazzo (CRD# 1228870). Enrico Caiazzo has spent 31 years in the securities industry and has been registered with Morgan Stanley in Lawrenceville, New Jersey since 2010. Previous registrations include UBS…

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