JOHN ROBERT SHOLTIS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE STATE STREET, 16TH FLOOR, HARTFORD, CT, 06103.
JOHN ROBERT SHOLTIS has worked at UBS FINANCIAL SERVICES INC. since June 15, 2007
JOHN ROBERT SHOLTIS has 2 Disclosure Event(s).
Date: January 01, 1989 Category: Customer Dispute Allegations: MISREPRESENTATION. IT HAS BEEN OVER 15 YEARS SINCE THIS CUSTOMER MADE THE ALLEGRATION OF MISREPRESENTATION. I DO NOT REMEMBER THE SPECIFICS WHICH LED TO THIS COMPLAINT. IN MY RESPONSE TO THIS COMPLAINT I DID FULLY EXPLAIN AND DEFEND MY ACTIONS Damage Amount Requested: $2,500.00 Damages Granted: $40.00 Broker Comment: IT HAS BEEN OVER 15 YEARS SINCE THIS COMPLANT SURFACED. THE TWO COMPLAINTS MADE AGAINST ME WERE MADE BY TWO BROTHERS. I DO NOT REMEMBER THE SPECIFIC CIRCUMSTANCES, BUT I DON'T BELIEVE THAT I EVER DID ANYTHING WRONG. AT THE TIME I SENT SEVERAL LETTERS DETAILING MY POSITION AS TO THE CIRCUMSTANCES OF THIS COMPLAINT.
Date: January 01, 1989 Category: Customer Dispute Allegations: SUITABILITY; BREACH OF FIDUCIARY DUTY. IT HAS BEEN OVER 15 YEARS SINCE THIS ALLEGATION WAS MADE. I DO NOT REMEMBER THE SPECIFIC DETAILS, BUT AT THE TIME OF THE COMPLAINT DEFENDED MYSELF AND FULLY DISCLOSED THE RELEVANT FACTS. Damage Amount Requested: $4,800.00 Damages Granted: $500.00 Broker Comment: IT HAS BEEN OVER 15 YEARS SINCE THIS COMPLANT SURFACED. THE TWO COMPLAINTS MADE AGAINST ME WERE MADE BY TWO BROTHERS. I DO NOT REMEMBER THE SPECIFIC CIRCUMSTANCES, BUT I DON'T BELIEVE THAT I EVER DID ANYTHING WRONG. AT THE TIME I SENT SEVERAL LETTERS DETAILING MY POSITION AS TO THE CIRCUMSTANCES OF THIS COMPLAINT
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