JERRY DEAN TAYLOR is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 6120 South Yale Avenue, SUite 1800, TULSA, OK, 74126.
JERRY DEAN TAYLOR has worked at UBS FINANCIAL SERVICES INC. since November 20, 2008
Disclosure History
JERRY DEAN TAYLOR has 1 Disclosure Event(s).
Date: July 15, 2013 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT THE FA RECOMMENDED A PORTFOLIO WITH AN UNSUITABLE HIGH PROPORTION OF EQUITIES. TIME FRAME: JUNE 2011. Damage Amount Requested: $50,000.00 Settlement Amount: $24,000.00 Broker Comment: THE PLANNING PROCESS WAS FULLY UTILIZED AND IMPLEMENTED WITH A LONG TERM STRATEGY TO MEET THE CLIENT'S STATED GOALS OF INCOME PLUS GROWTH. WE REVIEWED HER AND HER HUSBAND'S PREVIOUS STRATEGIES AND INVESTED THE FUNDS IN A SIMILAR ALLOCATION. THE CLIENT OPENED HER ACCOUNT IN MARCH OF 2011 AND WE MOVED HER INVESTMENTS WITH HER CONSENT IN TO THE MANAGED ACCOUNT PROGRAM IN JULY. THE CLIENT THEN MOVED HER ACCOUNT FROM THE FIRM IN DECEMBER 2011. DURING THE 2011 YEAR WE INTRODUCED THE CLIENT TO A CPA FOR TAX GUIDANCE AND ALWAYS FELT WE PUT HER INTEREST FIRST IN ALL INVESTMENTS AND ADVICE.
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