Search Results for: kobayashi

Steven Kobayashi, a former UBS Financial Services Advisor in Walnut Creek, California, has agreed to serve over 5 years in prison for securities fraud. Kobayashi was charged with forging customer signatures and misappropriating over $5.4 million in client funds. As previously posted in this blog, Kobayashi settled a Securities and Exchange Commission lawsuit back in […]

Today, the Securities and Exchange Commission (SEC) filed securities fraud charges against Steven K. Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. The SEC’s complaint alleges that Kobayashi raised several million dollars through a fund called “Life Settlement Partners LLC” that invested in life settlement policies. Kobayashi […]