DAVID ALAN BOUDREAU is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1 NORTH WACKER DRIVE, 25TH & 26TH & 31st FLOORS, CHICAGO, IL, 60606.
DAVID ALAN BOUDREAU has worked at UBS FINANCIAL SERVICES INC. since May 08, 2009
Disclosure History
DAVID ALAN BOUDREAU has 1 Disclosure Event(s).
Date: October 05, 2011 Category: Customer Dispute Allegations: RESPONDENTS FAILED TO DESIGNATE CLAIMANTS AS CONTINGENT BENEFICIARIES IN THEIR PARENTS' IRAS AT UBS AND, AS A CONSEQUENCE, CAUSED THEM TO LOSE THE BENEFIT OF TAX-DEFERRED GROWTH AFTER THE DEATH OF THEIR PARENTS. TIME FRAME: 2009. Settlement Amount: $95,000.00 Broker Comment: CONTINGENT BENEFICIARIES WERE IDENTIFIED AND DISCLOSED TO THE DECEDENTS PRIOR TO THEIR EXECUTING THE ACCOUNT OPENING DOCUMENTS. NO ERRORS IN THE IDENTIFICATION OF ANY BENEFICIARIES WAS NOTED AT THE TIME THE ACCOUNTS WERE OPENED.
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