EVERETT WEINBERGER 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.
EVERETT WEINBERGER has worked at UBS FINANCIAL SERVICES INC. since November 18, 2011
Disclosure History
EVERETT WEINBERGER has 2 Disclosure Event(s).
Date: June 10, 2016 Category: Customer Dispute Allegations: The Customer alleges misrepresentation and unsuitable investment recommendations regarding variable annuities issued in September 2009. Broker Comment: I strongly deny these allegations. The Customer wrote to Prudential regarding variable annuities that they had purchased 7 years prior when I was a financial advisor at Merrill Lynch. The Customer later insisted that they never meant to make a complaint and agreed that these variable annuities were suitable for them. Merrill Lynch closed the matter.
Date: November 18, 2011 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Voluntary Resignation Allegations: ALLEGATIONS INVOLVING REPRESENTATIVE'S ROLE IN EMAIL COMMUNICATIONS THAT HAD NOT BEEN APPROVED BY THE FIRM BUT WERE SENT TO PROSPECTS. Broker Comment: THIS WAS AN HONEST MISTAKE OF MY SENDING AN EMAIL TO PROSPECTS INFORMING THEM OF AN UPCOMING PRIVATE PLACEMENT. NO CLIENT OR PROSPECT WAS HARMED AS A RESULT OF MY EMAIL. MY DECISION TO MOVE TO UBS WAS UNRELATED TO THIS MATTER -- I HAD BEGUN DISCUSSIONS WITH UBS SEVERAL YEARS PRIOR. I HAVE NEVER HAD A CUSTOMER COMPLAINT OR REGULATORY ACTION DURING MY CAREER AS A FINANCIAL ADVISOR.
More Information
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