JAMES MORGAN LEE

JAMES MORGAN LEE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 55 WILLIAM STREET, WELLESLEY, MA, 02481.

JAMES MORGAN LEE has worked at UBS FINANCIAL SERVICES INC. since January 31, 1980

Disclosure History

JAMES MORGAN LEE has 2 Disclosure Event(s).

Date: September 28, 2001
Category: Customer Dispute
Allegations: CUSTOMERS VERBALLY ALLEGE THAT FA MISREPRESENTED THEIR HOLDINGS AND DID NOT ADVISE THEM PROPERLY WHEN HE RECOMMENDED THAT THEY STAY IN THE MARKET ON 9/10/01.
Settlement Amount: $48,308.46

Date: July 16, 1986
Category: Customer Dispute
Settlement Amount: $40,000.00
Broker Comment: ON NOVEMBER 6, 1986, PAINEWEBBER SETTLED THE MATTER FOR $40,000.00 IN WHAT HE FELT WAS JUST AND EQUITABLE IN LIGHT OF THE CLIENT'S GRIEVANCE. THE FIRM PAID $20,000.00 AND ASSESSED THE OTHER BROKER $20,000.00.

More Information

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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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