JEROME GROSSMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1285 AVENUE OF THE AMERICAS, 15 THRU 18TH FLOORS, NEW YORK, NY, 10019.
JEROME GROSSMAN has worked at UBS FINANCIAL SERVICES INC. since January 30, 2009
Disclosure History
JEROME GROSSMAN has 1 Disclosure Event(s).
Date: March 09, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MR. GROSSMAN'S RECOMMENDATIONS WERE NOT CONSISTENT WITH HIS INVESTMENT OBJECTIVES FOR SPECULATIVE GROWTH AND THAT HE FAILED TO ADVISE HIM WHEN HIS STOCKS BEGAN TO FALL IN PRICE. NO SPECIFIC DAMAGESCLAIMED. Broker Comment: MERRILL LYNCH AND MR. GROSSMAN STRONGLY DENY THESE ALLEGATIONS. THE STOCK IN QUESTION WERE RATED ABOVE AVERAGE RISK BY MERRILL LYNCH'S ANALYSTS, WHICH IS CONSISTENT WITH THE CLIENT'S INVESTMENT OBJECTIVE OF SPECULATIVE GROWTH. CUSTOMER WAS ENCOURAGED TO FOLLOW A LONG-TERM APPROACH TO INVESTING; HOWEVER, HE BECAME IMPATIENT WITH HIS SHORT-TERM PERFORMANCE.
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