CAROL ANN WILSHIRE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 515 S. FLOWER STREET, SUITE 50, LOS ANGELES, CA, 90071.
CAROL ANN WILSHIRE has worked at UBS FINANCIAL SERVICES INC. since January 16, 2009
Disclosure History
CAROL ANN WILSHIRE has 1 Disclosure Event(s).
Date: March 09, 2001 Category: Customer Dispute Allegations: FAILURE TO DISCLOSE RISKS, UNSUITABILITY 7/18/97-2/28/01 Damage Amount Requested: $38,975.98 Settlement Amount: $17,236.00 Broker Comment: THIS MATTER WAS INCORRECTLY REPORTED AS AN ARBITRATION.[CUSTOMER] HAS SIGNED A REQUEST TO EXPUNGE HER CLAIM FROM THE REGISTRATION RECORD OF MS. WILSHIRE.
More Information
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