CHRISTOPHER JAMES CONROY is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1251 AVE OF THE AMERICAS, 2ND FLOOR, NEW YORK, NY, 10020.
CHRISTOPHER JAMES CONROY has worked at UBS FINANCIAL SERVICES INC. since September 24, 2004
Disclosure History
CHRISTOPHER JAMES CONROY has 4 Disclosure Event(s).
Date: November 28, 2016 Category: Regulatory
Date: July 24, 2015 Category: Customer Dispute Allegations: Time Frame: 2006 to 2015Authorized representative of clients alleged unauthorized trading in the accounts. Settlement Amount: $67,573.10
Date: September 08, 2009 Category: Customer Dispute Allegations: CLAIMANT, A CONNECTICUT REAL ESTATE BROKER, ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADES. Damage Amount Requested: $185,218.00 Settlement Amount: $72,500.00
Date: January 13, 1993 Category: Customer Dispute Allegations: UNSUITABILITY, DAMAGES AGAINST HIS BROKERWERE UNDER $5,000.00. DAMAGES AGAINST THE OTHER BROKER [OTHER FIRM EMPLOYEE] WERE OVER $5,000.00. Damages Granted: $5,000.00 Broker Comment: THE ARBITRATION FOUND CONROY JOINTLY & SEVERALLYLIABLE TO [CUSTOMER] FOR $1,600.00. [OTHER FIRM EMPLOYEE] WAS JOINTLY &SEVERALLY LIABLE FOR $3,400.00ALTHOUGH THE STATEMENT OF CLAIM MADE BROAD ANDSWEEPING ALLEGATIONS, AT THE HEARING IT WAS CLEAR THAT THE ONLYALLEGATIONS AGAINST CONROY CONCERNED THE SUITABILITY OF TRADESHE RECOMMENDED. ALL TRADES WERE IN FACT SUITABLE, CONSIDERINGTHE FACT THAT [CUSTOMER] HAD FIVE OTHER ACCOUNTS AT OTHER FIRMS,SOME OF WHICH HE ACTIVELY TRADED SPECULATIVE ISSUES.
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