GEORGE BARCLAY PERRY is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2000 AVENUE OF THE STARS, LOS ANGELES, CA, 90067.
GEORGE BARCLAY PERRY has worked at UBS FINANCIAL SERVICES INC. since November 16, 2015
Disclosure History
GEORGE BARCLAY PERRY has 1 Disclosure Event(s).
Date: December 23, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES RESPONDENT FAILED TO SURPERVISE THE REGISTERED REPRESENTATIVES RECOMMENDED PURCHASE OF AUCTION RATE SECURITIES INTO THE CLIENT'S CASH MANAGEMENT ACCOUNT. CLIENT FURTHER ALLEGES THAT THE ARS PURCHASES WERE MISREPRESENTED AS BEING SAFE, LIQUID INVESTMENTS THAT WERE UNSUITABLE AS THEY WERE INCONSISTENT WITH THE CLIENT'S INVESTMENT POLICY. Damages Granted: $15,000,000.00 Broker Comment: THE CUSTOMER'S ALLEGATIONS ARE FALSE, UNJUST, AND WILL BE REFUTED VIGOROUSLY BY COUNSEL.THE ARBITRATION PANEL ISSUED AN AWARD THAT WAS JOINT AND SEVERAL AGAINST THREE FORMER LEHMAN EMPLOYEES OF WHICH I WAS ONE. I FEEL THE AWARD AGAINST ME WAS ERRONEOUS BECAUSE I NEVER HAD ANY CONTACT WITH THE CLAIMANT. ADDITIONALLY, I WAS OUT OF THE COUNTRY WHEN I BELIEVE THE RELEVENT EVENTS OCCURRED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for GEORGE BARCLAY PERRY, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.