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  • Nicolas Barrios – UBS Advisor Barred by Regulators & Fired by UBS

    Nicolas Barrios, former Winter Haven, Florida UBS branch manager and financial advisor has been barred by the Financial Industry Regulatory...

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  • Gary Pevey: Financial Advisor Suspended For 12 Months Relating to Woodbridge Notes

    Today the Financial Industry Regulatory Authority released a Letter of Acceptance, Waiver and Consent, suspending Sacramento-based financial advisor Gary Pevey...

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  • Paul Wishingrad: Beverly Hills UBS Financial Advisor Suspended

    Paul Wishingrad, a Beverly Hills-based financial advisor for UBS Financial Services, has been suspended for 15 days and fined $5,000...

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  • Joe Varghese: Prudential Financial Advisor Barred By Regulators

    Joe Varghese, a former Prudential financial advisor in Howard Beach, New York, has been barred for life by the Financial...

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