JOHN J. COWLEY is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE POINTE DRIVE, SUITE 140, BREA, CA, 92821.
JOHN J. COWLEY has worked at UBS FINANCIAL SERVICES INC. since January 31, 2013
Disclosure History
JOHN J. COWLEY has 2 Disclosure Event(s).
Date: May 29, 2009 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED MISREPRESENTATION WITH RESPECT TO VARIABLE ANNUITY - JANUARY 2007.DAMAGES UNSPECIFIED. Settlement Amount: $64,603.20
Date: November 03, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGED FA DID NOT TELL HIM HE WOULD HAVE A CAPITAL LOSS IF HE SOLD HIS MUNI BONDS AND DID NOT ACT IN HIS BEST INTEREST-10/24/2006. Damage Amount Requested: $100,000.00 Broker Comment: CLAIM ABANDONED.
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