Michael Paesano (CRD #: 1557229), a previously registered broker and an investment adviser registered with Axiom Investment Management LLC, is facing multiple pending allegations regarding excessive trading, according to his Investment Adviser Public Disclosure record, accessed on August 26, 2020. This is far from the only disclosure on Mr. Paesano’s record. On July 2, 2020,…

Read More

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 More

The value of ETRACS Exchange Traded Notes, unsecured debt securities offered by UBS, has plummeted 60%, triggering mandatory redemption and raising questions about potential sales practice violations by UBS brokers. The securities attorneys of Fitapelli Kurta are interested in hearing from investors who invested in ETRACS. Read on to learn more about recent developments.  What…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) on December 23, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has received resolved and pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967). William Carlton has spent 33 years in the securities industry and…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 1, 2016 indicate that former Washington-based UBS Financial Services broker/adviser Lori Cousineau Weaver is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Cousineau…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that New Jersey-based UBS Financial Services broker/adviser Gerald Crum is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investor who have complaints regarding Mr. Crum (CRD# 2363691).…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Vermont-based UBS Financial Services broker/adviser Thomas Cosinuke has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cosinuke (CRD# 704650). Thomas…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Illinois-based UBS Financial Services broker/adviser David Melby has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Melby (CRD# 2413077).…

Read More