ARNOLD KRAMER GOLDBAUM is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1285 AVENUE OF THE AMERICAS, 15 THRU 18TH FLOORS, NEW YORK, NY, 10019.
ARNOLD KRAMER GOLDBAUM has worked at UBS FINANCIAL SERVICES INC. since January 23, 1989
Disclosure History
ARNOLD KRAMER GOLDBAUM has 1 Disclosure Event(s).
Date: November 02, 2009 Category: Customer Dispute Allegations: TIME FRAME: DECEMBER 28, 2006 - JUNE 10, 2009CLIENT'S COUNSEL ALLEGES THAT CLIENT'S FINANCIAL ADVISOR GROUP PLACED HIM IN UNSUITABLE INVESTMENTS AND BELIEVES THAT THEIR ACTIONS CONSTITUTED GROSS ELDER ABUSE. CLIENT'S COUNSEL FURTHER ALLEGES THAT THE FINANCIAL ADVISOR GROUP FAILED TO LIMIT THE NUMBER OF UNCOVERED OPTIONS TRADED IN HIS ACCOUNT. THEREFORE, THE MARGIN AND EQUITY CALCULATIONS MADE IN HIS SMA ACCOUNT ALLOWED UNLIMITED RISKY ACTIVITY AND WERE DELIBERATELY USED TO INDUCE THE CLIENT TO TRADE EXCESSIVELY. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
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