DAVID MARK GANNON 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.
DAVID MARK GANNON has worked at UBS FINANCIAL SERVICES INC. since August 12, 2006
Disclosure History
DAVID MARK GANNON has 2 Disclosure Event(s).
Date: March 03, 2003 Category: Customer Dispute Allegations: ATTORNEY FOR CLIENT ALLEGES THAT THE SALE OF ADCT, PFE AND HON AND THE SUBSEQUENT PURCHASE OF A GMAC NOTE WAS DONE PRESUMABLY WITHOUT AUTHORIZATION FROM CLIENT. REALIZED LOSS FROM SALES OF STOCK WAS $16,286. NO SPECIFIC DAMAGES ALLEGED. Broker Comment: THIS CUSTOMER COMPLAINT NO LONGER REPORTABLE. THE UNAUTHORIZED TRADES REFERENCED IN ITEM #5 WERE DISCUSSED WITH THE CLIENT PRIOR TO EXECUTION. THE ALLEGATION IS NOT BEING QUESTIONED BY THE CLIENT BUT BY HIS SON-IN-LAW.
Date: February 05, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES EXCESSIVE TRADING IN REGARDS TO THE SETTLEMENT OF HER MOTHER'S ESTATE. CLIENT REQUESTS THAT THE COMMISSION FROM THE LIQUIDATION OF THE MOTHER'S ESTATE BE RETURNED. Damage Amount Requested: $11,214.25 Broker Comment: THIS CUSTOMER COMPLAINT NO LONGER REPORTABLE. THE EXCESSIVE TRADING ALLEGATION AROSE FROM THE LIQUIDATION OF AN ESTATE ACCOUNT, THE AUTHORIZATION OF WHICH CAME FROM THE CORPORATE TRUSTEE. I IN TURN MET WITH THE CLIENT, A BENEFICIARY OF THE ESTATE, AND DEVELOPED AN INVESTMENT PLAN WITH A PERSONALIZED ASSET ALLOCATION. IN ADDITION, ALL ASSETS FROM THE ESTATE IN QUESTION CAN BE ACCOUNTED FOR.
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