ALLAN STUART FIELDS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1285 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY, 10019.
ALLAN STUART FIELDS has worked at UBS FINANCIAL SERVICES INC. since January 01, 2010
Disclosure History
ALLAN STUART FIELDS has 4 Disclosure Event(s).
Date: April 25, 2006 Category: Customer Dispute Allegations: OVERPAYMENT OF MANAGEMENT FEES, BEST PRICE EXECUTION AND SECURITIES PURCHASED OUTSIDE SCOPE OF INVESTMENT POLICY. Damage Amount Requested: $16,000,000.00 Settlement Amount: $55,000.00
Date: April 22, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA CHURNED ACCOUNT AND CHARGED EXCESSIVE COMMISSIONS Settlement Amount: $80,000.00
Date: October 01, 2003 Category: Criminal Charges: ASSAULT 2 Disposition: Dismissed Broker Comment: ALL CHARGES WERE DISMISSED AND RECORD WAS EXPUNGED.
Date: May 11, 1995 Category: Customer Dispute Allegations: CUSTOMER CLAIMS UNSUITABLE RECOMMENDATIONS INRESPECT OF ``PRINCIPAL ONLY`` COLLATERALIZED MORTGAGEOBLIGATION SECURITIES. ALLEGED DAMAGES IN EXCESS OF $1MILLION. Damage Amount Requested: $1,500,000.00 Settlement Amount: $111,000.00 Broker Comment: SETTLED FOR $111,000.00CATEGORICALLY DENY ALL ALLEGATIONS AND WRONGDOING. SETTLED TO AVOID EXPENSES A HEARING COSTS
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