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UVEST Financial Services Group, Inc.,

UVEST Financial Services Group, Inc., (CRD #13787, Charlotte, North Carolina) received a censure and fine of $80,000. According to the findings, the firm violated recordkeeping requirements in that the firm failed to preserve for three years certain electronic mail communications received by its employees that related to its business as a broker, dealer, or member of an exchange. The findings also stated that the firm failed to have a systematic means to retain electronic communications related to its business that were reasonably designed to achieve compliance with SEC and NASD rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CE4050005)

Did UVEST Financial Services Group, Inc., manage your investments?

 

 

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