CHRISTOPHER TODD WAGNER

CHRISTOPHER TODD WAGNER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 555 CALIFORNIA ST, 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA, 94104.

CHRISTOPHER TODD WAGNER has worked at UBS FINANCIAL SERVICES INC. since November 20, 2015

Disclosure History

CHRISTOPHER TODD WAGNER has 1 Disclosure Event(s).

Date: November 03, 2009
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES CERTAIN INVESTMENTS IN GOVERNMENT AGENCY SECURITIES AND 2 INCOME MUTUAL FUNDS WERE UNSUITABLE AND OVERLY CONCENTRATED
Damage Amount Requested: $200,000.00
Settlement Amount: $50,000.00
Broker Comment: DEFENDANTS DENY ANY AND ALL CLAIMS MADE BY CLAIMANT. CLAIM WAS SETTLED TO AVOID FURTHER SIGNIFICANT INCREASE IN LEGAL EXPENSES.

More Information

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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.

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