CHARLES BILL ELLIOTT is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 200 CLOCK TOWER PLACE, SUITE C-100, CARMEL, CA, 93923.
CHARLES BILL ELLIOTT has worked at UBS FINANCIAL SERVICES INC. since May 25, 2012
Disclosure History
CHARLES BILL ELLIOTT has 1 Disclosure Event(s).
Date: June 12, 2009 Category: Customer Dispute Allegations: IT IS CLAIMED THAT IN ABOUT JANUARY 2008, FINANCIAL ADVISOR FAILED TO RECOMMEND SUITABLE RISK MANAGEMENT STRATEGIES AND DID NOT FULLY DISCLOSE RISKS OF SECURITIES CONCENTRATION. Damage Amount Requested: $70,000,000.00 Damages Granted: $3,000,000.00 Broker Comment: ACCORDING TO THE AWARD: 1. RESPONDENT IS LIABLE TO AND SHALL PAY CLAIMANT COMPENSATORY DAMAGES IN THE AMOUNT OF $1,500,000.00; 2: IN ADDITION TO THE AMOUNT LISTED ABOVE, RESPONDENT IS LIABLE FOR AND SHALL MAKE A DONATION(S) IN THE AMOUNT OF $1,500,000.00 ON BEHALF OF THE CLAIMANT TO THE CHARITY OR CHARITIES DESIGNATED BY THE CLAIMANT.
More Information
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