GARY SCOTT JEFFERSON is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 10800 FINANCIAL CENTER PARKWAY, 4TH FLOOR, LITTLE ROCK, AR, 72211.
GARY SCOTT JEFFERSON has worked at UBS FINANCIAL SERVICES INC. since January 05, 2009
Disclosure History
GARY SCOTT JEFFERSON has 2 Disclosure Event(s).
Date: December 01, 1992 Category: Customer Dispute Allegations: Not Provided Settlement Amount: $70,000.00 Broker Comment: SETTLED FOR $70,000.00.PLEASE ARCHIVE. THIS WAS AN ORAL COMPLAINT AND,AS SUCH, IS NOT REPORTABLE. SEQUENT DRP#17173.
Date: September 30, 1992 Category: Customer Dispute Allegations: FRAUD, BREACH OF FIDUCIARY DUTY, NEGLIGENCE,CONTROL PERSON LIABILITY ALLEGED DAMAGES: 73,218.43 Damage Amount Requested: $73,218.43 Damages Granted: $37,700.00 Broker Comment: AWARD RENDERED IN THE AMOUNT OF $37,700.00. FCWAS NOT ASKED TO CONTRIBUTE SHEARSON IS PAYING SETTLEMENT.THE ARBITRATION BOARD DID NOT BASE THE AWARD ONANY FINDING OF FRAUD OR BREACH OF FIDUCIARY DUTY. THE CLAIM WASOVER THE SALE AND PURCHASE OF A SHEARSON LEHMAN BROTHERS MUTUALFUND, THE HIGH INCOME BOND PORTFOLIO. I DID NOT CONTRIBUTE TOTHE SETTLEMENT OF THIS AWARD.
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