Securities Arbitration Lawyers BlogSilver Law Group Investigates Aventura, Florida-based Michael R. Smith After UBS Termination
Silver Law Group is investigating former UBS Financial Services Inc. (CRD# 8174) broker Michael R. Smith (CRD# 428405) after UBS terminated the broker.
UBS terminated Smith, based out of Aventura, Florida, in October 2015 after he failed to disclose to the firm that he was named trustee for the trust of an unrelated client on two occasions.
In May 2016, FINRA barred Smith from the selling securities after Smith failed to respond to a FINRA request for information.