DENNIS WILLIAM LAUGHLIN

DENNIS WILLIAM LAUGHLIN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at MARINA TOWERS, 709 S HARBOR CITY BLVD, 5TH FL, MELBOURNE, FL, 32901.

DENNIS WILLIAM LAUGHLIN has worked at UBS FINANCIAL SERVICES INC. since October 28, 2010

Disclosure History

DENNIS WILLIAM LAUGHLIN has 2 Disclosure Event(s).

Date: February 02, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS, MISREPRESENTATION AND NEGLIGENCE AGAINST REGISTERED REPRESENTATIVES MANAGING CLIENTS ACCOUNTS. ACTIVITY PERIOD: 2/6/07 THROUGH 10/13/09.

Date: July 23, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FA MISREPRESENTED C SHARES OF MUTUAL FUNDS AND THAT THEY WERE ALSO AN UNSUITABLE INVESTMENTS. TIME PERIOD: 2/00 - PRESENT.
Damage Amount Requested: $8,832.56
Settlement Amount: $1,500.00

More Information

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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.

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