JOHN K MEINERS

JOHN K MEINERS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 401 EAST LAS OLAS BOULEVARD, LAS OLAS CENTRE, FT. LAUDERDALE, FL, 33301.

JOHN K MEINERS has worked at UBS FINANCIAL SERVICES INC. since November 12, 2008

Disclosure History

JOHN K MEINERS has 1 Disclosure Event(s).

Date: September 10, 2009
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS VARIABLE ANNUITIES PURCHASED IN FEBRUARY 2006 WERE ALLEGEDLY UNSUITABLE INVESTMENTS.
Broker Comment: THE CLIENT WANTED TO MAKE SURE THAT HER SON WOULD BE TSKEN CARE OF WITH A GUARANTEED DEATH BENEFIT. THE ANNUITY PROVIDED THIS AND SINCE HAS GROWN. THIS WAS ABOUT 25% OF HER ACCOUNT AT THE TINE. EBERYTHING WAS EXPLAINED TO CLIENT IN DETAIL.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JOHN K MEINERS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.