BARRY DENIS KEMBALLCOOK

BARRY DENIS KEMBALLCOOK is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 100 CRESCENT COURT, SUITE 600, DALLAS, TX, 75201.

BARRY DENIS KEMBALLCOOK has worked at UBS FINANCIAL SERVICES INC. since January 01, 1991

Disclosure History

BARRY DENIS KEMBALLCOOK has 1 Disclosure Event(s).

Date: January 28, 2003
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE FRAUD, MISREPRESENTATION, NEGLIGENCE AND UNSUITABLE TRADES AND RECOMMENDATIONS IN STOCK.
Damage Amount Requested: $218,000.00
Settlement Amount: $140,000.00

Errors or Outdated Information?

More Information

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.

OTHER BROKERS IN TX WITH DISCLOSURE EVENTS

To view the full report for BARRY DENIS KEMBALLCOOK, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

BrokerSearch Removal