CHARLES WILLIAM MOORE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 17140 BERNARDO CENTER DRIVE, SAN DIEGO, CA, 92128.
CHARLES WILLIAM MOORE has worked at UBS FINANCIAL SERVICES INC. since October 22, 2015
CHARLES WILLIAM MOORE has 2 Disclosure Event(s).
Date: May 14, 2008 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008. Settlement Amount: $225,000.00 Broker Comment: THE COMPLAINT AROSE IN CONNECTION WITH THE INDUSTRY WIDE BREAKDOWN OF THE LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES ("ARS"). THE FIRM AGREED TO REPURCHASE THE ARS SECURITIES AT ISSUE AT PAR VALUE FROM THE CLIENT PURSUANT TO A GLOBAL REPURCHASE AGREEMENT IT ENTERED INTO WITH SEVERAL REGULATORY BODIES. THIS WAS NOT A SETTLEMENT OF A DISPUTE BETWEEN THE CLIENT AND THE REPRESENTATIVE AND WAS NOT BASED ON THE MERITS OF THE CLIENT'S SPECIFIC CONCERNS OR ANY FINDING OF FAULT OR WRONGDOING BY THE NAMED REPRESENTATIVE. THE NAMED REPRESENTATIVE WAS NOT A PARTY TO, AND DID NOT AGREE TO OR PARTICIPATE IN, THE REPURCHASE AGREEMENT BETWEEN THE FIRM AND THE RELEVANT REGULATORY BODIES. THE NAMED REPRESENTATIVE DID NOT MAKE ANY PAYMENTS TO THE CLIENT AND THE NAMED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE SETTLEMENT AMOUNT. THE LISTED "SETTLEMENT AMOUNT" REPRESENTS ONLY THE GROSS INITIAL PAR VALUE OF THE ARS POSITION AND DOES NOT TAKE INTO ACCOUNT THE ACTUAL VALUE OF THE ARS POSITION AT THE TIME THE FIRM RECEIVED IT BACK FROM THE CLIENT IN CONNECTION WITH THE SETTLEMENT. THIS MATTER IS BEING REPORTED AS A SETTLEMENT PURSUANT TO THE REQUIREMENTS OF FINRA REGULATORY NOTICE 09-12.
Date: August 21, 1987 Category: Criminal Charges: IMPORTATION OF A CONTROLLED SUBSTANCE--0.6GRAMS OF MARIJUANA & POSSESSION OF A CONTROLLED SUBSTANCE 0.6GRAMS OF MARIJUANA Charge Type: FELONY Disposition: CASE DISMISSED ON ORAL MOT OF AUSA W/PREJ WITH$1000 P/S BOND Broker Comment: ON 7/26/87, AT U.S. CUSTOMS IN SAN DIEGO CA., IWAS DIRECTED TO A SECONDARY INSPECTON OF MY VEHICLE. A CUSTOMSAGENT FOUND 0.6 GRAMS OF MARIJUANA UNDER THE SEAT OF MY CAR ANDARRESTED ME FOR IMPORTATION & POSSESSSION OF A CONTROLLEDSUBSTANCE AND RELEASED ME ON A NOTICE TO APPEAR. I WENT BEFOREA U.S. MAGISTRATE MOSKOWITZ, AND THE CASE WAS DISMISSED ON ORALMOT OF AUSA W/PREJ. AND $1000 P/S BOND. THIS IS ONLY ONECOMPLAINT NOT TWO DIFFERENT COMPLAINTS. THE REQUEST ON THECOMPLAINT THAT WAS FILED ON 8/26/87 IS THE SAME COMPLAINT THATWAS FILED ON 8/21/87.
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.
To view the full report for CHARLES WILLIAM MOORE, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More