ARNOLD I IRWIN ALPERT is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2555 EAST CAMELBACK RD., SUITE 600, PHOENIX, AZ, 85016.
ARNOLD I IRWIN ALPERT has worked at UBS FINANCIAL SERVICES INC. since August 17, 2006
Disclosure History
ARNOLD I IRWIN ALPERT has 2 Disclosure Event(s).
Date: April 14, 2003 Category: Customer Dispute Allegations: ALLEGING UNSUITABLE AND UNAUTHORIZED TRADING. Damage Amount Requested: $2,127,209.63 Settlement Amount: $20,000.00 Broker Comment: JOHN DOUGHERTY IS HANDLING THIS MATTER.
Date: November 11, 2002 Category: Customer Dispute Allegations: CLIENT LODGED VERBAL COMPLAINT ALLEGING THAT FC FAILED TO FOLLOW INSTRUCTIONS REGARDING SELLING EQUITY - 2/1/02.DAMAGES UNSPECIFIED. Settlement Amount: $12,750.00 Broker Comment: THE CLAIM WAS SETTLED FOR $12,750.
More Information
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