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UBS Archives - FrankowskiFirm Blog Posts

Phil Fiore Jr. Fired By UBS For Multiple Violations

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UBS Financial Services Inc. fired Phil Fiore Jr., one of its top brokers based in Stamford, […]

by Broker Check, FINRA, Press Releases & NewsDecember 29 2016 Jeffrey Howell Barred From Securities Industry

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by Broker Check, FINRA, Fraud, Press Releases & NewsOctober 14 2016 FINRA Panel Orders UBS To Pay For Bond Losses

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A FINRA arbitration panel ordered UBS Group AG’s wealth management business for the Americas to pay […]

by FINRA, Fraud, Press Releases & NewsMarch 25 2016 Frankowski Firm Investigating UBS Broker

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The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley […]

by Broker Check, FINRA, Press Releases & News, SECFebruary 5 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by FINRA, Press Releases & NewsJanuary 11 2016 FINRA Fines UBS Puerto Rico $18.5M

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FINRA censured and fined UBS Financial Services Incorporated of Puerto Rico $7.5 million for supervisory failures […]

by FINRA, Press Releases & NewsOctober 1 2015 UBS Settles Hedge Fund Suit

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UBS AG avoided going to trial today by mere hours by agreeing to settle a lawsuit […]

by Press Releases & NewsSeptember 2 2015 UBS Loses Arbitration, Forced To Pay $200k

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UBS Loses Arbitration and Ordered to Pay $200K UBS lost an arbitration case this week pertaining […]

by Press Releases & NewsMay 14 2015