JESSICA LEE ANDERSON is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 67 MERCHANTS ROW, SUITE 102, RUTLAND, VT, 05701.
JESSICA LEE ANDERSON has worked at UBS FINANCIAL SERVICES INC. since March 19, 2009
JESSICA LEE ANDERSON has 2 Disclosure Event(s).
Date: March 18, 2008 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED MISREPRESENTATION. DAMAGES UNSPECIFIED. Settlement Amount: $50,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
Date: October 06, 2003 Category: Customer Dispute Allegations: CLIENT'S ATTORNEY ALLEGED CLIENT WAS INCORRECTLY ADVISED OF FEES ASSOCIATED WITH SALE OF MUTUAL FUNDS- JANUARY 2002 THROUGH OCTOBER 2003.DAMAGES UNSPECIFIED. Settlement Amount: $2,000.00 Broker Comment: THE CLAIM WAS SETTLED FOR $2,000.
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