J. RALPH PARKER

J. RALPH PARKER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 555 CALIFORNIA ST, 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA, 94104.

J. RALPH PARKER has worked at UBS FINANCIAL SERVICES INC. since December 19, 2008

Disclosure History

J. RALPH PARKER has 1 Disclosure Event(s).

Date: August 07, 1987
Category: Customer Dispute
Allegations: PREVIOUSLY REPORTED
Damage Amount Requested: $320,000.00 Damages Granted: $47,769.00
Broker Comment: CLAIM AGAINST ALEX. BROWN & SONS INCORPORATEDWAS DISMISSED WITHOUT PREJUDICENot Provided

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.

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