US Edition2023077646901 Manuel F. Melendez CRD 4648278 AWC lp.pdf
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2023077646901 Manuel F. Melendez CRD 4648278 AWC lp.pdf
Between October 2018 and February 2021, while registered through UBS, Melendez borrowed $738,000 from two firm customers through four separate loans without providing prior written notice to or obtaining written approval from UBS, in violation of FINRA Rules 3240 and 2010. Melendez used thousands of dollars from these loans to pay expenses unrelated to the loans’ purposes, in violation of FINRA Rules 2150(a) and 2010. Further, between May 2019 a…
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