BRUCE MONTGOMERY DAVIS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 6360 I-55 NORTH, 4TH FL, JACKSON, MS, 39211.
BRUCE MONTGOMERY DAVIS has worked at UBS FINANCIAL SERVICES INC. since July 21, 1986
Disclosure History
BRUCE MONTGOMERY DAVIS has 2 Disclosure Event(s).
Date: May 26, 1999 Category: Customer Dispute Allegations: THROUGH WRITTEN CORRESPONDENCE, THE COMPTROLLER OF THE PROFIT SHARING PLAN FOR CUSTOMER AND ANOTHER CLIENT ALLEGED THAT THE FA FAILED TO FOLLOW THE WRITTEN INSTRUCTIONS OF THE CLIENT WHICH SPECIFICALLY INDICATED THAT THE MONIES INVESTED IN THEIR ACCOUNTS SHOULD BE INVESTED IN CISCO STOCKS. SUBSEQUENTLY, NO PURCHASE OF CISCO WAS MADE. TIME PERIOD 9/98-5/99. DAMAGES UNSPECIFIED Settlement Amount: $7,046.47 Broker Comment: THERE WERE NO "ALLEGATIONS OF FAILURE TO FOLLOW WRITTEN INSTRUCTIONS" FROM THE PROFIT SHARING PLAN PARTICIPANTS OR EMPLOYER. THERE WAS A TRANSACTIONAL OVERSIGHT DUE TO MY FAILURE TO ENTER TWO ODD-LOT STOCK ORDERS OUT OF TWENTY-PLUS DIFFERENT, MULTIPLE ORDERS RECEIVED AT THE SAME TIME DURING AN ANNUAL PROFIT SHARING MEETING WITH EMPLOYEES. THE COMPTROLLER ADVISED THAT TWO PARTICIPANTS DID NOT REFLECT SHARES OF CISCO ON THEIR STATEMENTS AND WE VERIFIED THE NUMBER OF SHARES EACH EMPLOYEE WAS ENTITLED TO AND THE SHARES WERE BOUGHT. THERE WAS NEVER A WRITTEN COMPLAINT OR ALLEGATION OF IMPROPRIETY FROM THE EMPLOYER OR EMPLOYEES.
Date: May 26, 1999 Category: Customer Dispute Allegations: THROUGH WRITTEN CORRESPONDENCE, THE COMPTROLLER OF THE PROFIT SHARING PLAN FOR CUSTOMER AND ANOTHER CLIENT ALLEGED THAT THE FA FAILED TO FOLLOW THE WRITTEN INSTRUCTIONS OF THE CLIENT WHICH SPECIFICALLY INDICATED THAT THE MONIES INVESTED IN THEIR ACCOUNTS SHOULD BE INVESTED IN CISCO STOCKS. SUBSEQUENTLY, NO PURCHASE OF CISCO WAS MADE. TIME PERIOD 9/98-5/99. DAMAGES UNSPECIFIED Settlement Amount: $7,646.17 Broker Comment: THERE WERE NO "ALLEGATIONS OF FAILURE TO FOLLOW WRITTEN INSTRUCTIONS" FROM THE PROFIT SHARING PLAN PARTICIPANTS OR EMPLOYER. THERE WAS A TRANSACTIONAL OVERSIGHT DUE TO MY FAILURE TO ENTER TWO ODD-LOT STOCK ORDERS OUT OF TWENTY-PLUS DIFFERENT, MULTIPLE ORDERS RECEIVED AT THE SAME TIME DURING AN ANNUAL PROFIT SHARING MEETING WITH EMPLOYEES. THE COMPTROLLER ADVISED THAT TWO PARTICIPANTS DID NOT REFLECT SHARES OF CISCO ON THEIR STATEMENTS AND WE VERIFIED THE NUMBER OF SHARES EACH EMPLOYEE WAS ENTITLED TO AND THE SHARES WERE BOUGHT. THERE WAS NEVER A WRITTEN COMPLAINT OR ALLEGATION OF IMPROPRIETY FROM THE EMPLOYER OR EMPLOYEES.
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