How Outside Business Activities Doomed A UBS Advisor
As regulators seek to weed out bad brokers from the business, it appears that UBS has fired an advisor for violating company policies. Phil Fiore, a Stamford, Connecticut- based advisor who has been in the business for 22 years and was on “heightened supervision” in 2015, failed to disclose his work as an unpaid director for an electric utility for which he was a…
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