CLAIR ARNOLD LEWIS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2475 VILLAGE VIEW DRIVE, HENDERSON, NV, 89074.
CLAIR ARNOLD LEWIS has worked at UBS FINANCIAL SERVICES INC. since February 02, 2009
CLAIR ARNOLD LEWIS has 2 Disclosure Event(s).
Date: August 08, 2003 Category: Customer Dispute Allegations: NEVADA RESIDENT WRITES THAT HER BROKER FAILED TO PURCHASE 1,000 SHARES OF COUMBIA LABORATORIES (COB) AT $4.00 AS INSTRUCTED. STOCK NOW WORTH $12.50. Damage Amount Requested: $8,500.00 Broker Comment: BROKER CLEARLY RECALLS DISCUSSING THE STOCK WITH HIS CLIENT IN MARCH, RECOMMENDING AGAINST INCREASING HER POSITION AND INSTEAD WATCHING THE STOCK, WHICH CLIENT AGREED TO. CLIENT SPOKE WITH BROKER AT END OF MAY WHEN STOCK WAS AT $6.00, KNEW SHE HAD NOT PURCHASED ANOTHER 1,000 SHARES AND DID NOT INSTRUCT THE BROKER TO PLACE A TRADE. BROKER'S RECOMMENDATION NOT TO INCREASE POSITION IN THE STOCK WAS APPROPRIATE FOR THIS CLIENT. NO WRONGDOING FOUND. CLAIM DENIED.
Date: November 01, 1987 Category: Customer Dispute Allegations: NOT PROVIDED Broker Comment: NOT PROVIDED THE CLIENT, ET. AL. VA. RAUSCHER PIERCEREFSNES, INC JOEL KING AND CLAIR A. LEWIS, WAS FILED NOVEMBER1987 IN THE SUPERIOR COURT OF CALIFORNIA (SAN DIEGO CO.)ALLEGING THAT REGISTERED REPRESENTATIVE JOEL KINGMISREPRESENTED AN OPTION PROGRAM WHEREBY CALL OPTIONS WEREWRITTEN AGAINST CONVERTABLE BONDS, AND GUARANTEED THE CLIENTS APROFIT. THE COMPLAINT FURTHER ALLEGES THAT CLAIR LEWIS, BRANCHMANAGER, FAILED TO SUPERVISE KING. THIS ACTION WAS STAYED ANDTHE CASE IS NOW PENDING A HEARING BEFORE THE AMERICANARBITRATION ASSOCIATION.
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