Tagged with "nicolas barrios"

FINRA Bars Former UBS Adviser Nicolas J. Barrios for Refusing to Provide Documents

Posted on June 17th, 2019 at 4:28 PM
FINRA Bars Former UBS Adviser Nicolas J. Barrios for Refusing to Provide Documents

The Financial Industry Regulatory Authority (“FINRA”) recently barred Nicolas J. Barrios (CRD No. 2122824) from the industry for refusing to provide documents and information requested by FINRA in connection with a fraud investigation.

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It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

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