GEOFFREY MICHAEL MANN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2310 RT 34, MANASQUAN, NJ, 08736.
GEOFFREY MICHAEL MANN has worked at UBS FINANCIAL SERVICES INC. since November 21, 2008
GEOFFREY MICHAEL MANN has 8 Disclosure Event(s).
Date: October 13, 2014 Category: Customer Dispute Allegations: TIME FRAME: AUGUST 2009 THROUGH MARCH 2014CLAIMANT ALLEGES FA EXCESSIVELY TRADED HIS ACCOUNTS, MISREPRESENTED MATERIAL FACTS, ANDRECOMMENDED UNSUITABLE INVESTMENTS. Damage Amount Requested: $616,945.01 Settlement Amount: $299,000.00 Broker Comment: THESE ACCUSATIONS ARE FALSE AND BASELESS. THE CLIENT IS VERY SOPHISTICATED. PRIOR TO TRANSFERRING HIS ACCOUNTS INTO UBS, HE WAS INVESTED IN VARIOUS ALTERNATIVE INVESTMENTS INCLUDING HEDGE FUNDS, PRIVATE EQUITY FUNDS AND MANAGED FUTURES. HE INSISTED UPON DETAILED FACTS THROUGH NUMEROUS EMAILS, PHONE CALLS AND MEETINGS. HE HAS AN AGGRESSIVE RISK OBJECTIVE AS EVIDENCED BY HIS PURCHASES OF IPO'S, OPTIONS AND LEVERAGED PRODUCTS. MANY OF WHICH WERE PURCHASED ON AN UNSOLICITED BASIS. HE IS AWARE OF AND AGREED TO THE TRADES AND HE WANTED TO OUTPERFORM THE EQUITY MARKET BY UTILIZING THE CANSLIM GROWTH STOCK INVESTMENT STRATEGY. WE DISCUSSED UTILIZING A WRAP FEE AT THE INCEPTION OF OUR RELATIONSHIP AND AGAIN AFTER THE ACTIVITY LETTER, WHICH WAS SENT ON OCTOBER 6, 2011, WAS RECEIVED AND REVIEWED, BUT HE ULTIMATELY DECIDED AGAINST IT. I FEEL THAT THE CLIENT IS TRYING NOW TO RECOVER HIS MARKET LOSSES BY MAKING THESE FALSE ACCUSATIONS AGAINST ME AND UBS.
Date: May 12, 2009 Category: Customer Dispute Allegations: CUSTOMER CLAIMS FINANCIAL ADVISOR MADE ALLEGEDLY UNAUTHORIZED INVESTMENTS IN MUTUAL FUNDS ON JANUARY 15, 2008: ALSO CLAIMS HE WAS NOT INFORMED THAT A MARGIN LOAN WOULD BE USED. Damage Amount Requested: $5,173.00
Date: January 20, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE RECOMMENDATIONS. GOOD FAITH ESTIMATE OVER $5,000. Settlement Amount: $175,000.00
Date: September 03, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FINANCIAL ADVISOR MISMANAGED HIS ACCOUNT AND TRADED HIS ACCOUNT WITHOUT AUTHORITY. Damage Amount Requested: $120,000.00
Date: March 17, 1999 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT THE PAINE WEBBER AE MADE AN UNAUTHORIZED PURCHASE OF ARCH COMM GROUP IN OCTOBER 1997 AND INVESTED IN INVESTMENTS WHICH WERE INAPPROPRIATE FOR RETIREMENT MONEY. CLIENT ALLEGES LOSSES OF $75,000. Damage Amount Requested: $75,000.00 Broker Comment: PAINE WEBBER CLOSED ITS FILE ON THIS MATTER. AS CLIENT WITHDREW AGAINST FA GEOFFREY MANN NOT PROVIDED
Date: December 01, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT PAINE WEBBER AE USED EXCESSIVE MARK-UPS AND INVESTED IN BONDS WHICH WERE CALLED. Damage Amount Requested: $15,000.00
Date: April 05, 1993 Category: Regulatory
Date: April 22, 1991 Category: Employment Separation After Allegations Firm Name: SMITH BARNEY Termination Type: Permitted to Resign Allegations: Not ProvidedN/A Broker Comment: TRANSACTIONS CANCELLEDIN 1991 A SYNDICATE ITEM WAS PURCHASED IN ANEMPLOYEE RELATED ACCOUNT. THIS TRANSACTION WAS SUBSEQUENTLYCANCELLED AND THE ACCOUNT WAS MADE WHOLE.
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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