CAROL LYNN MANI JOHNSTON is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 200 CONCORD PLAZA DR, SUITE 300, SAN ANTONIO, TX, 78216.
CAROL LYNN MANI JOHNSTON has worked at UBS FINANCIAL SERVICES INC. since December 03, 2013
Disclosure History
CAROL LYNN MANI JOHNSTON has 1 Disclosure Event(s).
Date: April 20, 1999 Category: Customer Dispute Allegations: CLIENT'S GRANDSON ALLEGED THAT THE TRADING INTHE CLIENT'S ACCOUNT WAS UNAUTHORIZED AND UNSUITABLE STOCKS,BONDS SALOMON SMITH BARNEY ALLEGED DAMAGES $34,000 Damage Amount Requested: $34,000.00 Settlement Amount: $2,640.00 Broker Comment: GRANDSON RESCINDED UNAUTHORIZED TRADINGALLEGATION ALTHOUGH SUITABILITY CLAIM WAS QUESTIONED AS ABUSINESS DECISION. BRANCH AGREED TO CREDIT CLIENT WITH $2,640.NOT PROVIDED
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