DILINI WEERASOORIYA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 601 LEXINGTON AVE, NEW YORK, NY, 10022.
DILINI WEERASOORIYA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 16, 2015
Disclosure History
DILINI WEERASOORIYA has 1 Disclosure Event(s).
Date: March 19, 2015 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Discharged Allegations: THE FINANCIAL ADVISOR WAS TERMINATED FOR FAILING TO MEET THE REQUIREMENTS OF FIRM-IMPOSED BUSINESS PLANS AND FOR FAILING TO DISCLOSE THAT A PROSPECTIVE CLIENT WAS AN EMPLOYEE OF A SECURITIES FIRM, ALTHOUGH THE CLIENT DID NOT ENGAGE IN ANY SECURITIES TRANSACTIONS AT THE FIRM. Broker Comment: THE FOLLOWING STATEMENT IS ADDED AT THE REQUEST OF THE APPLICANT AND SHOULD NOT BE CONSTRUED AS FINDINGS OR OPINIONS OF UBS FINANCIAL SERVICES OR ITS EMPLOYEES: --- "THIS DISCLOSURE IS THE RESULT OF AN OVERSIGHT IN COMPLETING ACCOUNT-OPENING PAPERWORK TO MEET A BUSINESS PLAN DEADLINE. THE FINANCIAL ADVISOR, WITH LIMITED EXPERIENCE IN THIS AREA AND UNDER TIME CONSTRAINTS, MADE NO EFFORT TO HIDE THE FACT THAT THE PROSPECTIVE CLIENT WAS EMPLOYED BY A SECURITIES FIRM, EITHER BEFORE OR AFTER THE ACCOUNT WAS OPENED. IN ADDITION, SHE INSTRUCTED THE PROSPECTIVE CLIENT TO CONFER WITH HIS FIRM'S COMPLIANCE DEPARTMENT TO ENSURE THE ACCOUNT OPENING WAS APPROVED AND APPROPRIATE, AND CONFIRMED THAT HE HAD DONE SO."
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