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Vinessa Christian Fired from UBS Financial Services

May 16, 2023 Fired Brokers

Vinessa Christian (CRD #: 1860324), a broker formerly registered with UBS Financial Services, allegedly violated firm policy, according to her BrokerCheck record, accessed on May 9, 2023. If you want to know more about her alleged conduct as a broker, keep reading.

Termination from UBS Financial Services

On March 22, 2023, Vinessa Christian was fired from UBS Financial Services after an internal review allegedly found that she reused a client signature from a previously-signed form and altered the date on an account transfer form.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Vinessa Christian has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

In the past, she worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • RBC Dain Rauscher (CRD#:31194)
  • Tucker Anthony (CRD#:837)

Kurta Law Can Help

If you worked with Vinessa Christian and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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