Noah Simon Facing Allegations of Unauthorized Trades
Noah Simon (CRD #: 5752860), a broker registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on August 25, 2021.
On June 28, 2021, an investor alleged that Noah Simon engaged in unauthorized trading.
Noah Simon Background Information
Noah Simon has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 31 states and is a registered investment adviser in New Jersey.
Noah Simon has worked with the following firms:
- UBS Financial Services (CRD #: 8174)
- Stone Toro Wealth Management (CRD #: 175027)
- Sanford C. Bernstein & Co. (CRD #: 104474)
Kurta Law Can Help
If you worked with Noah Simon and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.