JAMES FRANCIS GLEASON is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1099 HINGHAM STREET, ROCKLAND, MA, 02370.
JAMES FRANCIS GLEASON has worked at UBS FINANCIAL SERVICES INC. since January 04, 2008
Disclosure History
JAMES FRANCIS GLEASON has 3 Disclosure Event(s).
Date: January 14, 2013 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE THAT LOSES SUSTAINED BETWEEN 2008 AND 2012 WERE THE RESULT OF ALLEGEDLY UNAUTHORIZED AND UNSUITABLE PURCHASES AND SALES OF THE FIRM'S UNDERWRITINGS AND SYNDICATE PRODUCTS. Broker Comment: THE COMPLAINANTS IN THIS CASE WERE DENIED ARBITRATION AS A RESULT UBS FINANCIAL SERVICES, CITIGROUP GLOBAL MARKETS, INC. AND I WERE ABSOLVED OF ANY WRONG DOINGS BROUGHT FORWARD BY THE NAMED COMPLAINANTS. NO FINES, WRONG DOINGS OR ACTIONS WERE IMPOSED ON ME, UBS FINANCIAL SERVICES AND CITIGROUP GLOBAL MARKETS.
Date: December 03, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT HIS ACCOUNT HAD BEEN CHURNED TO GENERATE COMMISSIONS. Settlement Amount: $30,000.00 Broker Comment: THIS CASE WAS SETTLED TO AVOID THE COSTS AND UNCERTAINTIES OF AN ANTICIPATED, LENGHTY ARBITRATION. THIS CASE WAS NOT SETTLED AS A RESULT OF ANY ACTIVITY THAT OCCURRED DURING MR. GLEASON'S HANDLING OF THE ACCOUNT.
Date: August 10, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT A STOCK WAS PURCHASED IN HER ACCOUNT WITHOUT HER AUTHORIZATION IN MAY 1998. Damage Amount Requested: $8,500.00 Broker Comment: DENIED
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