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Investment Misconduct Blog

UBS Financial Services

Alex G. Herrera Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt August 20, 2018

Marquardt Law Office LLC is interested in speaking with individuals who lost money while investing with Alex G. Herrera. On August 8, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former UBS securities broker and investment adviser from associating with firms registered with FINRA.  FINRA registers and regulates brokers and brokerage firms. In

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Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money

Adam J. Marquardt August 13, 2018

If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment recovery options. Marquardt Law Office LLC previously reported UBS Financial Services Inc. discharged Maccoll amid its investigation he stole clients’ funds and had several customer claims.  Maccoll previously worked

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Emil J. Skyba Barred During Investigation of His Possible Alternation of Customer Forms

Adam J. Marquardt May 16, 2018

On May 11, 2018, FINRA announced that it barred former securities broker Emil J. Skyba 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 Skyba because he declined to provide

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