ALAN MARSHALL SMITH is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at DEERFIELD COMMONS, 12600 DEERFIELD PARKWAY, ALPHARETTA, GA, 30004.
ALAN MARSHALL SMITH has worked at UBS FINANCIAL SERVICES INC. since April 17, 2009
Disclosure History
ALAN MARSHALL SMITH has 1 Disclosure Event(s).
Date: May 14, 2015 Category: Customer Dispute Allegations: TIME FRAME: JULY 2009 - MAY 2015CLIENT ALLEGES HE NEVER AGREED TO SELL OVER 95% OF HIS EQUIFAX STOCK OWNED IN HIS ACCOUNTS. Broker Comment: THE ALLEGATION THAT A LARGE QUANTITY OF EQUIFAX COMMON STOCK WAS SOLD IN JULY OF 2009 WITHOUT AUTHORIZATION IS TOTALLY FALSE. THIS TRANSACTION WAS SPECIFICALLY AUTHORIZED BY THE CLIENT AS WERE THE NUMEROUS TRANSACTIONS INVOLVED IN REINVESTING THE PROCEEDS FROM THAT SALE, AS WELL AS THE ONGOING MANAGEMENT OF HER PORTFOLIO OVER THE FOLLOWING SIX YEARS. AS FOR THE ALLEGED MISMANAGEMENT OF HER ACCOUNT, THE PERFORMANCE SPEAKS FOR ITSELF. IN THE CLIENT'S INITIAL CONVERSATION WITH THE ASSOCIATE ADMINISTRATIVE MANAGER OF THE ATLANTA COMPLEX, SHE STATED WORDS TO THE EFFECT THAT SHE REALLY COULDN'T COMPLAIN ABOUT THE PERFORMANCE OF THE ACCOUNT. I CAN ONLY SPECULATE THAT SHE WAS SUBSEQUENTLY COACHED TO ALLEGE MISMANAGEMENT OF HER ACCOUNT IN HER WRITTEN COMPLAINT.
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