ALAN PATRICK FREEMAN

ALAN PATRICK FREEMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 888 SAN CLEMENTE DRIVE, NEWPORT BEACH, CA, 92660.

ALAN PATRICK FREEMAN has worked at UBS FINANCIAL SERVICES INC. since January 23, 2009

Disclosure History

ALAN PATRICK FREEMAN has 2 Disclosure Event(s).

Date: July 27, 2009
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED UNSUITABILITY WITH RESPECT TO INVESTMENTS - 2008. DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

Date: November 19, 2001
Category: Customer Dispute
Allegations: ALLEGATION OF NEGLIGENCE IN HANDLING OF ACCOUNTS.
Damage Amount Requested: $300,000.00
Broker Comment: RICHARD APICELLA IS HANDLING THIS MATTER.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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