JOHN R MULLER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 6070 POPLAR AVENUE, SUITE 400, MEMPHIS, TN, 38119.
JOHN R MULLER has worked at UBS FINANCIAL SERVICES INC. since May 20, 1993
Disclosure History
JOHN R MULLER has 1 Disclosure Event(s).
Date: July 31, 2002 Category: Customer Dispute Allegations: CLIENTS VERBALLY ALLEGED EXCESSIVE AND DISCRETIONARY TRADING. DAMAGES UNSPECIFIED. Settlement Amount: $75,000.00 Broker Comment: I CATEGORICALLY DENY STATEMENTS BY [CUSTOMER]. I DID HAVE WRITTEN DISCRETION OVER HIS ACCOUNT BUT NEVER EXERCISED IT AND HIS TRADES WERE AT HIS DIRECTION EITHER THROUGH MY SALES ASSISTANT OR MYSELF, WHICH HAVE BEEN TESTIFIED TO. ALL TRADE TICKETS WERE MARKED UNSOLICITED. INVESTMENTS WERE CONSISTENT WITH HIS AGGRESSIVE/SPECULATIVE RISK PROFILE. I TOLD HIM ON TWO OCCASIONS TO STOP HIS TRADING, WHICH WAS WITNESSED BY MY SALES ASSISTANT. THE FIRM MADE A BUSINESS DECISION TO SETTLE THE [CUSTOMERS'] CLAIM.
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