Tag Archives: StockbrokerSubject

Walter M. Stucker-Former UBS Stockbroker-Subject of Customer Suit Over Oil & Gas Investments-Fort Worth, TX

March 2018- Fort Worth, Texas The FINRA records of Walter M. Stucker , a stockbroker who until 5/2017 was  employed by UBS Financial Services , disclose  a currently pending customer dispute involving energy securities. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and … Continue reading

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Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, CA

March 2018- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers … Continue reading

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