JAMES DONNELL KLEIN 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.
JAMES DONNELL KLEIN has worked at UBS FINANCIAL SERVICES INC. since December 05, 1967
Disclosure History
JAMES DONNELL KLEIN has 3 Disclosure Event(s).
Date: October 11, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES MR. KLEIN KNEW THAT THE SECURITIES IN THE ACCOUNT WERE UNSUITABLE. TIME PERIOD SPECIFIED AS OCTOBER 1999- PRESENT. Damage Amount Requested: $950,000.00 Settlement Amount: $175,507.15 Broker Comment: I WAS NAMED AS THE BRANCH MANAGER IN A CLIENT COMPLAINT AGAINST A BROKER IN AN OFFICE UNDER MY SUPERVISION. THE BROKER WAS TERMINATED AND WE SETTLED WITH THE CLIENT DUE TO THE UNCERTAINTIES AND EXPENSE INVOLVED IN THE ARBITRATION/ CIVIL COURT FORUMS. OUR COUNCIL NEGLECTED TO REQUEST THAT THE PANEL BE RETAINED FOR THE PURPOSE OF SEEKING EXPUNGEMENT OF THIS COMPLAINT FROM MY RECORD UNTIL IT WAS TOO LATE TO DO SO AND THE DEADLINE HAD PASSED. I WAS SHOCKED TO FIND THIS COMPLAINT STILL ON MY RECORD YEARS LATER.
Date: February 16, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO SUPERVISE. CLIENT ALLEGES "COMPENSATORY DAMAGES IN AN AMOUNT GREATER THAN $5,000." Broker Comment: I DENY ALL ALLEGATIONS OF FAILURE TO SUPERVISE. PAINEWEBBER OFFERED TO SETTLE THIS MATTER SOLELY AS BUSINESS DECISION. THE CLIENT HAS NEVER RESPONDED TO THIS SETTLEMENT OFFER.
Date: September 15, 1982 Category: Regulatory
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