Category: Closed End Funds
There are options for customers of former UBS Financial Services Inc. broker Parker Brickley (CRD# 6334260). He has been registered with UBS Financial Services Inc. in New York, New York from 2016 to 2022, when he was terminated regarding, “Employee … Continue reading
Former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) accused of excessive trading related to Closed End Funds (CEFs). Mewhinney has been registered with Morgan Stanley in Dallas, Texas from 2009 to August 2018. Mewhinney has been the subject … Continue reading