Financial

UBS Stockbroker Under Fire For Yield Enhancement Strategy (YES) Sales

UBS Stockbroker Under Fire For Yield Enhancement Strategy (YES) Sales

Former UBS broker Frederick Maximillian Kort is facing allegations of making unsuitable investment recommendations to his customer and not fully disclosing the risks involved. Having been fired from UBS in 2018, Kort remains registered as an investment advisor with IHT Wealth Management, however, BrokerCheck records …

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David Hirons of Wedbush Securities Accused of Making Unauthorized Trades

David Hirons of Wedbush Securities Accused of Making Unauthorized Trades

Recently, an unauthorized trading FINRA arbitration claim was made by an investor, who is now seeking damages in six figures from David Hirons at Wedbush securities. FINRA is the primary regulator for brokers and broker-dealer that helps investors resolve disputes and financial problems through arbitration …

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First Western to Pay $200k Fine For Recommending Unsuitable Investment

First Western Capital Management (FWCM) to Pay $200k Fine For Recommending Unsuitable Investment

First Western Capital Management (FWCM) has been fined $200k by the US Securities and Exchange Commission for recommending investments to clients for seven years. The company is said to have invested over $666 million of clients’ money into securities they did not qualify for or …

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