CHRISTOPHER NEIL WILLIAMS is currently employed as a Broker and/or Investment Adviser at UNITED BROKERAGE SERVICES, INC located at 1304 Central Park, Fredericksburg, VA, 22401.
CHRISTOPHER NEIL WILLIAMS has worked at UNITED BROKERAGE SERVICES, INC since March 26, 2018
Disclosure History
CHRISTOPHER NEIL WILLIAMS has 1 Disclosure Event(s).
Date: November 12, 2008 Category: Customer Dispute Allegations: ON SEPTEMBER 26, 2008, CUSTOMER COMPLETED TRANSFER PAPERWORK TO HAVE $80,000 OF ASSETS IMMEDIATELY LIQUIDATED AND TRANSFERRED FROM HER ALLSTATE FINANCIAL SERVICES, LLC (AFS) BROKERAGE ACCOUNT TO A LINCOLN BENENFIT LIFE FIXED ANNUITY. THE CUSTOMER ALLEGES THAT THE REPRESENTATIVE INDICATED THAT THE TRADE ORDERS TO SELL $80,000 OF ASSETS WOULD BE PLACED IN HER BROKERAGE ACCOUNT THAT SAME DAY, ON SEPTEMBER 26, 2008. THE REPRESENTATIVE DID NOT PLACE THE TRADES TO LIQUIDATE THE ASSETS UNTIL OCTOBER 10, 2008. BETWEEN SEPTEMBER 26, 2008 AND OCTOBER 10, 2008 THE CUSTOMER EXPERIENCED APPROXIMATELY $20,000 IN LOSSES IN HER BROKERAGE ACCOUNT AND REQUESTED TO BE REIMBURSED FOR THOSE LOSSES DUE TO THE REPRESENTATIVE'S LACK OF TIMELY EXECUTION OF THE TRADE ORDERS TO SELL. Damage Amount Requested: $20,000.00 Settlement Amount: $18,356.83
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