JEFFREY STEVEN GREENWALD is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 312 WALNUT STREET, SUITE 3300, CINCINNATI, OH, 45202.
JEFFREY STEVEN GREENWALD has worked at UBS FINANCIAL SERVICES INC. since November 12, 1993
Disclosure History
JEFFREY STEVEN GREENWALD has 2 Disclosure Event(s).
Date: July 25, 2005 Category: Customer Dispute Allegations: SUCCESSOR TRUSTEE ALLEGED THAT THE INVESTMENT IN "A GAS LIMITED PARTNERSHIP IS INCONSISTENT WITH A MODERATE INVESTMENT RISK PROFILE." DAMAGES ESTIMED TO BE OVER $5000. Settlement Amount: $8,683.25
Date: September 20, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT HIS INVESTMENT INPCOM IS DEBENTURES MADE IN 6/98 IN HIS PAINEWEBBER ACCOUNT WASNOT SUITABLE DAMAGES ALLEGED $15,121 Damage Amount Requested: $15,121.00 Broker Comment: COMPLAINT WAS DENIED BY PAINEWEBBER.WE BELIEVE THIS CLAIM IS WHITHOUT MERIT BECAUSETHE CLIENT HAS TRADED HIGH YIELD BONDS PRIOR TO MAKING THISINVESTMENT. IN ADDITION THE CLIENT HAS INVESTED FOR MANY YEARS,TRADING SOPHISTICATED INVESTMENT VEHICLES. THE CLIENT WASPROVIDED WITH FUNDAMENTAL INFORMATION ABOUT PCOM AND IS SIMPLYUSING SUITABLITY AS A CRUTCH.
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