ANTHONY L GEORGE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 401 NORTH 31ST STREET, BILLINGS, MT, 59101.
ANTHONY L GEORGE has worked at UBS FINANCIAL SERVICES INC. since August 12, 2006
Disclosure History
ANTHONY L GEORGE has 1 Disclosure Event(s).
Date: October 06, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES HIS FINANCIAL ADVISOR TOLD HIM HIS INVESTMENTS WERE SAFE. THE CLIENT FURTHER ALLEGES THAT HE GAVE INSTRUCTIONS TO LIQUIDATE TWO OF HIS ACCOUNTS TO SAFER INVESTMENTS AND IT WAS NOT COMPLETED. TIME FRAME: JANUARY 3, 2011 TO OCTOBER 3, 2011. Broker Comment: THE OVERALL INVESTMENT STRATEGY, RISK PROFILE AND ASSET ALLOCATION RECOMMENDATIONS WERE DISCUSSED WITH THE CLIENT WHEN THE RELATIONSHIP BEGAN WITH RISK AND RETURNS DISCUSSED AND REVIEWED ON A REGULAR BASIS. THE TWO ACCOUNTS IN QUESTION WERE INVESTED IN BONDS AND ALTERNATIVE INVESTMENTS AND WERE A SMALLER PART OF THE CLIENT'S OVERALL INVESTMENT STRATEGY. THE CLIENT EXPRESSED A DESIRE TO LIQUIDATE DUE TO UNDER PERFORMANCE IN REFERENCE TO REST OF MARKET. DISCUSSIONS WERE HELD WITH CLIENT IN WHICH I EXPLAINED THAT THE ASSET CLASSES OF HIS INVESTMENTS REDUCED RISK AND WOULD NOT FLUCTUATE UP OR DOWN AS WOULD OTHER PRODUCTS. AFTER THESE DISCUSSIONS, THE CLIENT DECIDED TO STAY WITH THE RECOMMENDED STRATEGY. THE CLIENT REVIEWED HIS ACCOUNTS ON A DAILY BASIS VIA ON-LINE ACCESS AND WOULD HAVE BEEN WELL AWARE OF HIS HOLDINGS.
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