Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Helfenstein (Helfenstein), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one tax lien, alleging that Helfenstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 15, 2024.
The Department, based upon investigation of the Respondent’s activities in this state, alleges that the Respondent has not complied with continuing education requirements mandated by Section 626.2815, Florida Statutes, and Rule 69B-228.220, Florida Administrative Code, for the compliance period ending July 31, 2024.
