ALLEN ROY MELLOW is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3030 Old Ranch Pkwy, SUITE 300, SEAL BEACH, CA, 90740.
ALLEN ROY MELLOW has worked at UBS FINANCIAL SERVICES INC. since January 09, 1984
Disclosure History
ALLEN ROY MELLOW has 2 Disclosure Event(s).
Date: June 07, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT THE TRADES EXECUTED BY UBS THROUGH ITS REGISTERED REPRESENTATIVES WERE UNSUITABLE. TIME FRAME: FIRST QUARTER 2007-DECEMBER 2009 Damage Amount Requested: $206,690.89 Settlement Amount: $81,250.00 Broker Comment: I BECAME A C0 - FINANCIAL ADVISOR ON THIS ACCOUNT ON 12/08/09 DUE TO THE FORMATION OF A TEAM AGREEMENT WITH THE OTHER FINANCIAL ADVISORS MENTIONED INTHIS CLAIM. ALL ACCOUNT ACTIVITY MENTIONED BY THE CLAIMANT PRECEDES THAT DATE. I HAVE NEVER SPOKEN TO NOR ADVISED THESE CLIENTS BEFORE OR AFTER 12/08/09
Date: September 03, 2009 Category: Customer Dispute Allegations: THE CLIENT'S SON IN-LAW WHO HAS AUTHORITY ALLEGES THAT HER FINANCIAL ADVISORS PLACED HER IN HIGH RISK INAPPROPRIATE INVESTMENTS BASED ON HER AGE. Broker Comment: INVESTMENT RECOMMENDATIONS WERE IN KEEPING WITH THE CLIENTS STATED INVESTMENT GOALS AND RISK TOLERANCE. THE COMMISSIONS CHARGED WERE INDUSTRY STANDARD AND INFREQUENT
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