JAMES EDWARD MALLAHAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 925 4TH AVE, SEATTLE, WA, 98104.
JAMES EDWARD MALLAHAN has worked at UBS FINANCIAL SERVICES INC. since March 29, 2000
Disclosure History
JAMES EDWARD MALLAHAN has 2 Disclosure Event(s).
Date: September 12, 2005 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABILITY AND OVER-CONCENTRATION IN CONNECTION WITH FINANCIAL ADVISOR'S RECOMMENDATION THAT SHE INVEST WITH THREE EQUITY BASED OUTSIDE MONEY MANAGERS. Damage Amount Requested: $155,360.00 Settlement Amount: $30,000.00
Date: March 21, 2000 Category: Employment Separation After Allegations Firm Name: SALOMON SMITH BARNEY, INC. Termination Type: Discharged Allegations: TERMINATE FOR ACTIVITIES CONCERNING ACCOUNT OPENING AND OPERATION REGARDING A CHARITABLE ORGANIZATION. Broker Comment: I CONTRIBUTED FUNDS TO A CHARITY WHOSE ACCOUNT I HANDLED. A SIMILAR AMOUNT OF MONEY WAS DEPOSITED BY THE CHARITY INTO THEIR SALOMON SMITH BARNEY ACCT. THESE FUNDS WHERE USED TO PURCHASE IPO'S FOR THE ACCOUNT OF THE CHARITY. SOLOMAN SMITH BARNEY FELT THIS WAS A VIOLATION OF THEIR INTERNAL RULES AND REGULATIONS AND INDICATED THAT I WOULD BE TERMINATED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for JAMES EDWARD MALLAHAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.