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F
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U
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W
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X
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Name
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Residence
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What
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Why
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Date
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Uberti, Vincent Michael
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Fountain Valley, CA
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Barred
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Uberti issued research reports on companies that fraudulently failed to disclose material information and contained misleading, exaggerated and false statements. The findings stated that Uberti failed to disclose that the firm had received compensation for preparing and disseminating the reports. Uberti has appealed this decision to the SEC.
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April 2008
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Umhafer, Eugene Roy
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North Bellmore, NY
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Barred
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Umhafer accepted, endorsed and deposited into his own bank account checks totaling more than $2,500 received from a public customer made payable directly to him with the understanding that Umhafer would use the funds to pay the customer's interest payments on loans against his whole life insurance policies.
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November 2007
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Urro, Carlos M.
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Bound Brook, New Jersey
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Barred
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He created fictitious reimbursement documents, forged the signature of a school official on the documents, and submitted the documents to his member firm in an improper attempt to obtain funds from the firm.
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February 2005
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Uwadia,
Sonny C.
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Lancaster,
Texas
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Barred
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He willfully failed to disclose a material
fact on his Form U4 and failed to respond to NASD requests for information.
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December
2005
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