ANDREW DAVID GELLER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2029 CENTURY PARK EAST, SUITE 3000, CENTURY CITY, CA, 90067.
ANDREW DAVID GELLER has worked at UBS FINANCIAL SERVICES INC. since August 29, 1989
ANDREW DAVID GELLER has 4 Disclosure Event(s).
Date: April 07, 2016 Category: Customer Dispute Allegations: The client alleges the three investments in LPs were not suitable. Time Frame: January 2, 2013 to April 7, 2016. Damage Amount Requested: $39,581.00
Date: October 28, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE PURPOSE OF OPENING THE ACCOUNT WAS TO "MAXIMIZE MY MOTHER'S INCOME AND PRESERVE HER PRINCIPAL DUE TO HER AGE AND SITUATION. THIS WAS 100% OF MY MOTHER'S MONEY I HAVE SINCE BEEN ADVISED THAT THIS WAS NON-DIVERSIFIED, UNSUITABLE INVESTMENT". ALLEGED DAMAGESUNSPECIFIED BUT ESTIMATED TO EXCEED $5,000. Damage Amount Requested: $5,000.00 Settlement Amount: $9,500.00
Date: May 19, 1997 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT INVESTMENT OF ANNUITIESIN THEIR CUSTODIAL ACCOUNTS WERE INAPPOPRIATE AND THAT NOMENTION WAS MADE OF SURRENDER PENALTIES. CLIENTS SEET 10%PREMATURE DISTRIBUTION AND 6% SURRENDER PENALTIES. Settlement Amount: $16,350.37 Broker Comment: PAINEWEBBER RETURNED THE PREMATURE DISTRIBUTIONAND SURRENEDER PENALTIES FOR A TOTAL OF $16,350.37CLIENT WAS COMPLETELY AWARE OF ALL SURRENDERPENALTIES AND ADMITTED THEIR KNOWLEDGE OF SUCH TO MYSELF, THEBRANCH MANAGER ([BRANCH MANAGER]) AND THE DIVISION INSURANCECOORDINATOR ([THIRD PARTY]) ON A CONFERENCE CALL AROUND MARCH 1997.
Date: September 27, 1993 Category: Customer Dispute Allegations: ACCT RELATED - BRCH OF CONTRACT, SUITABILLTY,ACCT RELATED- NEGLIGENCE, BRCH OF FIDUCLARY DT;DAMAGES OF$250K. Damage Amount Requested: $250,000.00 Damages Granted: $96,250.00 Broker Comment: RESPONDENT IS LIABLE FOR AND SHALL PAY TO CLAIMANT DAMAGES IN THE AMOUNT OF $96,250.00. ALL OTHER CLAIMS, INCLUDING THE CLAIM FOR PUNITIVE DAMAGES, ARE DISMISSED.
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.
To view the full report for ANDREW DAVID GELLER, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More