DOUGLAS CHARLES GAST is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE NORTH BRENTWOOD BLVD., SHAW PARK PLAZA, ST. LOUIS, MO, 63105.
DOUGLAS CHARLES GAST has worked at UBS FINANCIAL SERVICES INC. since January 20, 2009
Disclosure History
DOUGLAS CHARLES GAST has 2 Disclosure Event(s).
Date: July 01, 1985 Category: Customer Dispute Allegations: I WAS NAMED AS A RESULT OF MY SUPERVISORYROLE. THE OTHER ALLEGATIONS WERE DIRECTED AT THE TWO ACCOUNTEXECUTIVES HANDLING THE [CUSTOMER] ACCOUNT. THESE ALLEGATIONS ALLEGEDFEDERAL, STATE AND COMMON LAW SECURITIES, FRAUD, CHURNING ANDBREACH OF FIDUCIARY DUTY AND DURESS. Damage Amount Requested: $195,000.00 Damages Granted: $79,000.00 Broker Comment: THE DECISION WAS FOUND AGAINST R. ROWLAN & CO.,INC. IN THE AMOUNT OF $79,000. IN A COUNTER COMPLAINT FILED BYROWLAND AGAINST THE CUSTOMER, THE AMEX ARBITRATION PANEL FOUNDAGAINST THE CUSTOMER IN THE AMOUNT OF $11,193.83II WAS NAMED AS A DEFENDANT IN THIS ARBITRATIONAS A RESULT OF BEING THE BRANCH OFFICE MANAGER OVERSEEING THEREGISTERED REPRESENTATIVES WHO HANDLED THE CUSTOMERS ACCOUNTS. ALSONAMED IN THE CASE WERE THE TWO REGISTERED REPRESENTATIVESHANDLING THE CUSTOMERS ACCOUNTS, AND ROWLAND'S COMPLIANCE OFFICERAND R. ROWLAND & COMPANY, INC.
Date: July 01, 1985 Category: Customer Dispute Allegations: I WAS NAMED AS A RESULT OF MY SUPERVISORYROLE. THE OTHER ALLEGATIONS WERE DIRECTED AT THE TWO ACCOUNTEXECUTIVES HANDLING THE CUSTOMER ACCOUNT. THESE ALLEGATIONS ALLEGEDFEDERAL, STATE AND COMMON LAW SECURITIES, FRAUD, CHURNING ANDBREACH OF FIDUCIARY DUTY AND DURESS. Damage Amount Requested: $195,000.00 Settlement Amount: $79,000.00 Broker Comment: THE DECISION WAS FOUND AGAINST R. ROWLAN & CO.,INC. IN THE AMOUNT OF $79,000. IN A COUNTER COMPLAINT FILED BYROWLAND AGAINST THE CUSTOMERS, THE AMEX ARBITRATION PANEL FOUNDAGAINST THE CUSTOMERS IN THE AMOUNT OF $11,193.83II WAS NAMED AS A DEFENDANT IN THIS ARBITRATIONAS A RESULT OF BEING THE BRANCH OFFICE MANAGER OVERSEEING THEREGISTERED REPRESENTATIVES WHO HANDLED THE CUSTOMERS ACCOUNTS. ALSONAMED IN THE CASE WERE THE TWO REGISTERED REPRESENTATIVESHANDLING THE CUSTOMERS ACCOUNTS, AND ROWLAND'S COMPLIANCE OFFICERAND R. ROWLAND & COMPANY, INC.
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