DAN L LASTAVICH is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 80 SOUTH 8TH STREET, SUITE 2900, MINNEAPOLIS, MN, 55402.
DAN L LASTAVICH has worked at UBS FINANCIAL SERVICES INC. since August 12, 2006
DAN L LASTAVICH has 4 Disclosure Event(s).
Date: May 12, 2004 Category: Customer Dispute Allegations: CLIENT, VIA ATTORNEY, IN LETTER DATED 5/12/04, ALLEGES FINANCIAL ADVISOR MISHANDLED CLIENT'S INVESTMENT ACCOUNTS, RECOMMENDED UNSUITABLE INVESTMENTS AND PRESENTED CONFLICTED INVESTMENT ADVICE WITH RESPECT TO EQUITY INVESTMENT RECOMMENDATIONS ON STOCKS COVERED BY PIPER JAFFRAY RESEARCH ANALYSTS. Damage Amount Requested: $200,000.00 Broker Comment: THIS CUSTOMER COMPLAINT IS NO LONGER REPORTABLE.
Date: November 06, 1996 Category: Customer Dispute Allegations: APPLICANT WAS NAMED IN HIS CAPACITY ASDIRECTOR OF SALES IN CHARGE OF OF INDIVIDUAL INVESTOR SERVICESOR AS MANAGEMENT COMMITTEE MEMBER. THIS WAS NOT AGAINST HIM ASAN INDIVIDUAL INVESTMENT EXECUTIVE. A SUMMARY OF THEALLEGAITONS ARE LISTED BELOW Damage Amount Requested: $20,000,000.00 Settlement Amount: $666,667.00 Broker Comment: [CUSTOMER] WAS PADI $666,667.00 FORRELEASE OF ALL CLAIMSNOT PROVIDED
Date: July 22, 1996 Category: Customer Dispute Allegations: THE PLAINTIFF FILED A VERIFIED COMPLAINT WITHTHE OGALA SIOUX TRIBAL COURT DATED 22 JULY 1996. IT ALLEGESVIOLATIONS OF THE SECURITIES EXCHANGE ACT OF 1934, THEINVESTMENT ADVISERS ACT, THE SECURITIES ACT OF 1933, FRAUD,MISREPRESENTAITON, UNSUITABILITY, AND BREACH OF FIDUCIARY DUTYAGAINST THE DEFENDANTS IN RELATION TO ITS INVESTMENT IN PHIGX.THE [CUSTOMER] SEEKS UNSPECIFIED ACTUAL DAMAGES, PUNITIVEDAMAGES AND COSTS AND ATTORNEYS FEES. Settlement Amount: $66,666.00 Broker Comment: [CUSTOMER] WAS PAID $66,666.00FOR RELEASE OF ALL CLAIMSTHE CLAIMANT PROVIDED 12 COURTESY COPIES OF THECOMPLAINT TO THE DEFENDANTS (WHICH WERE NEVER SERVED) ANDREPRESENTED THAT ALL COPIES OF THE COMPLAINT WERE IDENTICAL.APPLICANT WAS NAMED IN HIS CAPACITY AS DIRECTOR OF SALES INCHARGE OF INDIVIDUAL INVESTOR SERVICES OR AS A MANAGEMENTCOMMITTEE MEMBER. THIS WAS NOT AGAINST HIM AS AN INDIVIDUALINVESTMENT EXECUTIVE
Date: January 05, 1995 Category: Customer Dispute Allegations: ALLEEGED VIOLATION OF FEDERAL SECURITIES LAWSSPECIFCALLY SECTIONS 11 AND 12 (2) OF THE SECURITIES ACT OF1933 AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934AND THE SOUTH DAKOTA SECURITIES LAWA AND COMMITTED ACTS OFFRAUD AND BREACH OF FIDUCARY DUTY BY MISREPRESENTING ANDFAILING TO DISCLOSE CERTAIN INFORMAITON. ALLEGED DAMAGES ORCLAIMS: IN EXCESS OF $10,000. APPLICCANT WAS NAMED IN HISCAPACITY AS DIRECTOR OF SALES IN CHARGE OF INDIVIDUAL INVESTORSERVICES OF AS A MANAGEMENT COMMITTEE MEMBER THIS WAS NOTAGAINST HIM AS AN INDIVIDUAL INVESTMENT EXECUTIVE Settlement Amount: $666,667.00 Broker Comment: [CUSTOMER] WAS PAID $666,667 FOR RELEASE OF ALL CLAIMSNOT PROVIDED
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