ALISA BACHANA JAFFE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1800 NORTH MILITARY TRAIL, SUITE 300, BOCA RATON, FL, 33431.

ALISA BACHANA JAFFE has worked at UBS FINANCIAL SERVICES INC. since October 09, 2014

Disclosure History

ALISA BACHANA JAFFE has 1 Disclosure Event(s).

Date: July 15, 2013
Category: Customer Dispute
Allegations: Client alleges, inter alia, failure to follow instructions with respect to investments guidelines and gross mismanagement from August 2011 to July 2012.
Damage Amount Requested: $400,000.00
Settlement Amount: $27,687.28

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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