ERIC ANDREW WITTENBERG is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1285 AVENUE OF THE AMERICAS, 15 THRU 18TH FLOORS, NEW YORK, NY, 10019.
ERIC ANDREW WITTENBERG has worked at UBS FINANCIAL SERVICES INC. since November 20, 2015
Disclosure History
ERIC ANDREW WITTENBERG has 2 Disclosure Event(s).
Date: March 08, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT HE IS OVERWEIGHTED IN TECHNOLOGY STOCKS AND QUESTIONS WHY HE IS NOT MORE DIVERSIFIED. 1997-2002. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: January 11, 2001 Category: Customer Dispute Allegations: ALLEGATION OF FAILURE TO TRADE BROKERAGE JACCOUNT PURSUANT TO CUSTOMER'S INVESTMENT OBJECTIVES. IN A LETTER DATED JANUARY 29, 2001, CUSTOMER STATED THAT THE TRADING IN THE ACCOUNT "WAS ALL PART OF THE GAME PLAN WE DISCUSSED AT INCEPTION." ACCORDINGLY, WE CONSIDER THIS MATTER CLOSED. Damage Amount Requested: $265,000.00 Broker Comment: THE ACCOUNT WHICH IS A MANAGED ACCOUNT HAS BEEN CONSISTENT WITH THE INVESTMENT OBJECTIVES OF THE CLIENT. THE ACCOUNT HAS ALSO BEEN PROFITABLE AND CUSTOMER REMAINS A CLIENT AND HIS INVESTMENT OBJECTIVES HAVE NOT CHANGED.
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