ELIZABETH MARY BLACKWELL is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE POST OFFICE SQUARE, BOSTON, MA, 02109.
ELIZABETH MARY BLACKWELL has worked at UBS FINANCIAL SERVICES INC. since October 14, 2013
Disclosure History
ELIZABETH MARY BLACKWELL has 6 Disclosure Event(s).
Date: June 18, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
Date: June 17, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
Date: May 06, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
Date: April 04, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
Date: January 28, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
Date: January 25, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: THIS INFORMATION WAS FULLY DISCLOSED TO MY LOCAL MANAGERS AT THE TIME OF MY FORM U4 FILLING ON 8/13/2013 BOTH MANAGERS INFORMED ME TO ANSWER QUESTION 14K1 "NO" AS THEY DID NOT BELIEVE THAT THIS EVENT AND OTHERS WERE REPORTABLE. UPON LATER REVIEW ON 6/27/2014 BY THE COMPLIANCE DEPARTMENT IT WAS DETERMINED THAT THIS EVENT AND OTHERS ARE REPORTABLE; THEREFORE I AM AMENDING MY FORM U4. MOST OF THE WRITTEN OFF AMOUNTS CONSIST OF LATE FEES, ALL PRINCIPAL AND MOST INTEREST WAS PAID OFF IN FULL.
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