{"id":3865,"date":"2016-10-15T20:23:47","date_gmt":"2016-10-16T01:23:47","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/?p=3865"},"modified":"2022-03-28T10:35:35","modified_gmt":"2022-03-28T15:35:35","slug":"finra-actions-former-ubs-broker-barred-overvaluing-customers-account-3m-ex-broker-allegedly-stole-400k-parents-wells-fargo-adviser-suspended-client-victi","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-actions-former-ubs-broker-barred-overvaluing-customers-account-3m-ex-broker-allegedly-stole-400k-parents-wells-fargo-adviser-suspended-client-victi\/","title":{"rendered":"FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer\u2019s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments"},"content":{"rendered":"<blockquote>\n<div class=\"WordSection1\">\n<div class=\"\"><\/div>\n<div class=\"\"><b class=\"\">Ex-UBS Broker is Accused of Inflating Customer\u2019s Account\u00a0<\/b><\/div>\n<div class=\"\">The Financial Industry Regulatory Authority has barred Jeffrey Hamilton Howell from the broker-dealer industry. The former broker is accused of giving \u00a0a customer bogus weekly account statements that overvalued an account by up to $3M. The alleged misconduct is said to have occurred between 9\/2008 and 11\/2014.<\/div>\n<div class=\"\"><\/div>\n<div class=\"\">According to FINRA, Howell sent the customer over 300 Stock Tracking Reports that misstated the client\u2019s portfolio in amounts ranging from $289K to approximately $3M. He purportedly used his personal e-mail to send the customer some of the fake reports. This left UBS with records and books that were not accurate.<\/div>\n<\/div>\n<\/blockquote>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-actions-former-ubs-broker-barred-overvaluing-customers-account-3m-ex-broker-allegedly-stole-400k-parents-wells-fargo-adviser-suspended-client-victi\/\"  title=\"Continue Reading FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer\u2019s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Ex-UBS Broker is Accused of Inflating Customer\u2019s Account\u00a0 The Financial Industry Regulatory Authority has barred Jeffrey Hamilton Howell from the broker-dealer industry. The former broker is accused of giving \u00a0a customer bogus weekly account statements that overvalued an account by up to $3M. The alleged misconduct is said to have occurred between 9\/2008 and 11\/2014. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3752,3739,3747,3755,3836],"tags":[3685,3686],"class_list":["post-3865","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-financial-firms","category-finra","category-stifel-nicolaus-co-inc","category-ubs","category-wells-fargo","tag-phishing-scam","tag-unauthorized-payments"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer\u2019s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments &#8212; 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