DAVID A. DIRE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 98 SAN JACINTO BLVD, SUITE 600, AUSTIN, TX, 78701.
DAVID A. DIRE has worked at UBS FINANCIAL SERVICES INC. since August 08, 2008
Disclosure History
DAVID A. DIRE has 2 Disclosure Event(s).
Date: April 12, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGED CHURNING, UNSUITABLE INVESTMENTS AND GROSS NEGLIGENCE - 2004-2006.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED. PLEASE DISREGARD THIS FILING AS IT WAS FILED IN ERROR. CLIENT HAS SINCE ADVISED US THAT HIS COMPLAINT IS AGAINST ANOTHER REPRESENTATIVE AND NOT DAVID DIRE.
Date: October 08, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE BROKER PUT HIS INTERESTS BEFORE HERS, FALSE REPRESENTATIONS, & INVESTMENT STRATEGIES WERE NOT SUITABLE. 12/01-7/02. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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