JAMES SR.,JAMES HILTON SR. is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 130 Bellevue Avenue, Suite 301, Newport, RI, 02840.
JAMES SR.,JAMES HILTON SR. has worked at UBS FINANCIAL SERVICES INC. since February 01, 2013
Disclosure History
JAMES SR.,JAMES HILTON SR. has 1 Disclosure Event(s).
Date: March 05, 2008 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED UNAUTHORIZED TRADING. DAMAGES UNSPECIFIED. Settlement Amount: $200,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
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