ALAN JEFFREY COHEN

ALAN JEFFREY COHEN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1251 AVE OF THE AMERICAS, 2ND FLOOR, NEW YORK, NY, 10020.

ALAN JEFFREY COHEN has worked at UBS FINANCIAL SERVICES INC. since January 12, 2007

Disclosure History

ALAN JEFFREY COHEN has 3 Disclosure Event(s).

Date: October 31, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGED FC MISREPRESENTED HIS LOSSES ON AN INVESTMENT - 08/20/2002. DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

Date: March 08, 2001
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES BETWEEN 3/00 THROUGH PRESENT, UNSUITABLE RECOMMENDATIONS AND AGGRESSIVE RISK STRATEGIES EMPLOYED IN HIS IRA ACCOUNT HAVE CAUSED LOSSES IN EXCESS OF $283,000. IN ADDITION, HIS BONDS WERE SOLD AND REINVESTED IN IRA ASSETS THAT WERE HIGH RISK TECHNOLOGY STOCKS WHICH CAUSED A LOST OF 83,000. HE FURTHER ALLEGES BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, NEGLIANCE, VILOATION OF NASD AND NYSE RULES, MISREPRESENTATION AND FAILURE TO SUPERVISE.
Damage Amount Requested: $313,000.00
Settlement Amount: $35,000.00
Broker Comment: FC DISMISSED AS PART OF SETTLEMENT

Date: September 24, 1992
Category: Customer Dispute
Allegations: SUITABILITY, MISREPRESENTATION, UNAUTHORIZEDTRADING, ACCOUNT RELATED, FAILURE TO SUPERVISE. Damages Granted: $3,087.00
Broker Comment: CLAIMANT WAS INSTRUCTED TO RETURN (PARTNERSHIPSECURITIES) FOR $2,500.00 IN CASH PAYBACK.Not Provided

More Information

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