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.
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