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Investment Misconduct Blog

UBS

Pending Claim against Former UBS Broker Martin McLaughlin Alleges Unsuitable Investments

Adam J. Marquardt July 27, 2018

According to FINRA public records, former broker Martin McLaughlin has a pending customer dispute.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. The customer dispute against McLaughlin was filed in January 2018.  The claim is still pending and the damage amount requested is $529,795.34. The dispute alleges unsuitable investments with

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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,

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Kenneth S. Tyrrell, Former UBS Broker and Cary Street Partners Broker, Recently Barred by FINRA

Adam J. Marquardt March 9, 2018

According to a recent public notice by the Financial Industry Regulatory Authority (FINRA), Kenneth Stewart Tyrrell (Ken Tyrrell) was barred by FINRA in December 2017. Kenneth Tyrrell’s bar occurred following allegations he sold one of his customers $13 million of private equity and debt securities that his firm did not authorize him to sell.  Allegedly,

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Rick Konecny, Former JP Morgan and UBS Broker, Recently Named in Eight Investor Complaints

Adam J. Marquardt March 2, 2018

According to public records released by the Financial Industry Regulatory Authority (FINRA), eight customers have recently filed claims against former JP Morgan and UBS Broker Rick Douglas Konecny and FINRA has permanently barred Konecny from associating with firms registered with FINRA. Rick Konecny worked out of branch offices located in Chicago, Illinois and was registered

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