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The Financial Industry Regulatory Authority (“FINRA”) has suspended the securities agent registration of Gary Forrest of Flint, Michigan after a regulatory investigation resulted in findings that Forrest engaged in unapproved private securities transactions involving the sale of unregistered securities issued by the Woodbridge Group of Companies (“Woodbridge”). According to his Brokercheck report,…
Stockbroker Matthew Lasko of UBS Financial Services in Dallas, Texas is involved in a legal dispute with a customer who alleges that Lasko recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The customer is seeking damages of $500,000. UBS’ “yield enhancement strategy” was sold to investors as a safe,…
Stockbroker Jason Dworak of UBS Financial Services in Lincoln, Nebraska is involved in legal disputes with customers who allege that Dworak recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The aggregate damages being sought by the customers exceeds $2 million. UBS’ “yield enhancement strategy” was sold to investors as a…
Stockbroker Henry Goodman of UBS Financial Services in New York, New York is involved in a legal dispute with a customer who alleges that Goodman recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The customer is seeking damages of $6 million. UBS’ “yield enhancement strategy” was sold to investors…