Tag: Connecticut
Gregory Buchholz Faces Sentencing for Theft
According to CBS New York, a former Connecticut securities broker, Gregory Buchholz faces sentencing for stealing more than $1.35 million...
Investigation: Raymond James financial advisor Robert Lipka
The White Law Group is investigating investment recommendations made by former Raymond James financial advisor Robert Lipka. Specifically,...
Wadsworth Investment Co., Inc. fined and censured
FINRA recently announced that Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford, Connecticut have been fined...
UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.
UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its written supervisory procedures regarding OATS...