{"id":9170,"date":"2020-07-10T16:05:29","date_gmt":"2020-07-10T20:05:29","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9170"},"modified":"2020-07-10T16:05:29","modified_gmt":"2020-07-10T20:05:29","slug":"ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/","title":{"rendered":"Ricardo Turlan, Former UBS Broker, Discharged For Alleged Unsuitable Trading"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8296 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1-300x200.jpg\" alt=\"Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. Turlan\u2019s record shows that in 2019 he was discharged from UBS after an investigation allegedly determined that he exercised discretion in client accounts without proper authorization and traded at unsuitable levels. Before working for UBS Financial Services (CRD# 8174) starting in 2015, Turlan was previously registered with BBVA Securities Inc. (CRD# 27060), BBVA Compas Investment Solutions, Inc (CRD# 17086), BBVA Investments Inc. (CRD# 31769), and Citicorp Investment Services (CRD# 23988). He had been in the industry since 2001.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. Turlan\u2019s record shows that in 2019 he was discharged from UBS after an investigation allegedly determined that he exercised discretion in client accounts without proper authorization and traded at unsuitable levels.<\/p>\n<p>Before working for UBS Financial Services (CRD# 8174) starting in 2015, Turlan was previously registered with BBVA Securities Inc. (CRD# 27060), BBVA Compas Investment Solutions, Inc (CRD# 17086), BBVA Investments Inc. (CRD# 31769), and Citicorp Investment Services (CRD# 23988). He had been in the industry since 2001. <a href=\"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/#more-9170\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. Turlan\u2019s record shows that in 2019 he was discharged from UBS after an investigation allegedly determined that he exercised discretion in client accounts without proper authorization and traded at unsuitable levels. Before working for UBS Financial Services [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,581],"tags":[],"class_list":["post-9170","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unauthorized-trading"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Ricardo Turlan, Former UBS Broker, Discharged Over Allegations<\/title>\n<meta name=\"description\" content=\"Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. He was discharged from UBS in 2019.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Ricardo Turlan, Former UBS Broker, Discharged Over Allegations\" \/>\n<meta name=\"twitter:description\" content=\"Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. He was discharged from UBS in 2019.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1-300x200.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Ricardo Turlan, Former UBS Broker, Discharged Over Allegations","description":"Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. 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He was discharged from UBS in 2019.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1-300x200.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/","url":"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/","name":"Ricardo Turlan, Former UBS Broker, Discharged Over Allegations","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/ricardo-turlan-former-ubs-broker-discharged-for-alleged-unsuitable-trading\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Termination1-300x200.jpg","datePublished":"2020-07-10T20:05:29+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. 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