ALEXANDER VICTOR MARTINELLI

ALEXANDER VICTOR MARTINELLI is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE POST OFFICE SQUARE, BOSTON, MA, 02109.

ALEXANDER VICTOR MARTINELLI has worked at UBS FINANCIAL SERVICES INC. since November 18, 2015

Disclosure History

ALEXANDER VICTOR MARTINELLI has 2 Disclosure Event(s).

Date: April 15, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES THEY WERE ENTICED TO OPEN AN ACCOUNT IN JANUARY 08 IN TAX-FREE SECURITIES (AUCTION RATE SECURITIES) AND THE SELLING POINTS HAVE PROVEN TO BE MISREPRESENTED. CLIENT FURTHER ALLEGES THE RISKS OF AN AUCTION FREEZE WERE NOT DISCUSSED AND WERE TOLD THERE WAS NO COMMITMENT OTHER THAN SUBJECT TO 1 OR 5 WEEK LIQUIDITY WINDOW. DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000.
Damage Amount Requested: $5,000.00
Broker Comment: THE COMPLAINT AROSE BECAUSE OF UNPRECEDENTED MARKET EVENTS THAT CAUSED THE BREAKDOWN OF LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES. ***"MATTER WAS RESOLVED THROUGH THE FIRM'S OFFER VIA PROSPECTUS TO REPURCHASE THE ARS POSITION AT PAR."***

Date: May 14, 1995
Category: Criminal
Charges: ASSAULT & BATTERY BY DANGEROUS WEAPON (SHOD FOOT) 1) ONE, (2)ONE, (3) NOT GUILTY (4) N/A Charge Type: FELONY
Disposition: CONTINUANCE WITHOUT A FINDING. AFTER 6 MONTHS CHARGES WERE DISMISSED.

More Information

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