Posts Tagged ‘options trading’
Peter Higgins Faces Allegations of Unauthorized Transactions
Peter Higgins (CRD #: 245408), a broker registered with Janney Montgomery Scott LLC, has settled a dispute with an investor, according to his BrokerCheck record, accessed on February 2, 2021. Higgins has multiple disclosures on his account – investors should keep reading to learn more about his conduct as a broker. On November 20, 2020,…
Read MoreOptions Trading: Your Broker Should Disclose the Substantial Risk
Options trading is a gamble. It’s also a contract to buy or sell a stock at a pre-determined price by a certain date. These types of trades place a bet that the market will change directions according to an investor’s hunch. Options trading allows investors to buy time and observe the market before committing to…
Read MoreHenry Jakobsze, UBS Broker, Involved in Two Pending Investor Disputes Involving Risky Options Trading
Henry Jakobsze (CRD#: 2792685), a registered representative with UBS Financial Services, Inc. (CRD#: 8174) in Chicago, Illinois, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on June 23, 2020. What led to these customer complaints against Henry Jakobsze? Read on to learn more. On April 30, 2020, a client…
Read MoreJames Kelly, UBS Broker, Involved in $800,000 Worth of Customer Disputes Over Risky Options Trades
James Kelly (CRD#: 4362408), a registered representative with UBS Financial Services, Inc. (CRD#: 8174) in Chicago, Illinois, is currently involved in two pending customer disputes in which customers are seeking a total of $800,000 in damages, according to his BrokerCheck record accessed on May 8, 2020. Read on to learn more about what led to…
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