GEORGE BARCLAY PERRY

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

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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