Energy Sector Investments Archives - Marquardt Law Office

Energy Sector Investments

Michael James Keane and UBS Jointly Liable for $805,120 Award for Unsuitable Investments

Adam J. Marquardt April 23, 2018

After a hearing, an arbitration panel found ex-broker Michael James Keane and his former firm, UBS Financial Services Inc., jointly liable for two customers’ losses of $805,120. The Financial Industry Regulatory Authority, Inc. (FINRA) announced the award on April 6, 2018. According to FINRA records, the customers alleged that between May 2008 and November 2015,

Scott Palmer, former Janney Montgomery Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation

Adam J. Marquardt April 17, 2018

On April 10, 2018, FINRA announced it barred securities broker Scott Palmer from associating with firms registered with FINRA. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Scott Palmer for declining to provide sworn testimony in

Investment Misconduct Blog