DANE CURTISS URIE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 150 SECOND AVE. NORTH, SUITE 1000, ST. PETERSBURG, FL, 33701.
DANE CURTISS URIE has worked at UBS FINANCIAL SERVICES INC. since March 26, 2012
Disclosure History
DANE CURTISS URIE has 2 Disclosure Event(s).
Date: July 18, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT INSTEAD OF DIVERSIFICATION, HER FINANCIAL ADVISOR RECOMMENDED AN OUTSIDE MANAGER WHO INVESTED ALL OF HER ACCOUNT IN TECHNOLOGY STOCKS AND MUTUAL FUNDS. NO SPECIFIC DAMAGES ALLEGED. Broker Comment: FINANCIAL ADVISOR DENIES THE ALLEGATIONS. CUSTOMER CHOSE THE OUTSIDE INVESTMENT MANAGER FOR HER ACCOUNT. IN ADDITION, CUSTOMER WAS AWARE OF THE INVESTMENT STYLE EMPLOYED BY THE OUTSIDE MANAGER. THE FINANCIAL ADVISOR WAS NOT INVOLVED WITH THE TRANCACTIONS EXECUTED IN THIS ACCOUNT.
Date: April 22, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT INSTEAD OF BEINGSWITCHED BETWEEN MUTUAL FUNDS OF THE SAME FAMILY, INSTEAD SHEWAS PUT INTO A DEFINED ASSET FUND FOR WHICH SHE INCURRED FEESAND CHARGES. CUSTOMER ALLEGES $8,000 IN DAMAGES. THIS ALLEGEDLYOCCURRED AT MERRILL LYNCH. Damage Amount Requested: $8,000.00 Broker Comment: MERRILL LYNCH AND DANE URIE DENY THE CUSTOMER'S ALLEGATIONS IN THEIR ENTIRETY. CUSTOMER WAS RESPONDED TO ACCORDINGLY. WE NOW CONCIDER THIS MATTER CLOSED AS CUSTOMER HAS NOT PURSUED HER ISSUES.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for DANE CURTISS URIE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.