JOHN W UHLEIN is currently employed as a Broker and/or Investment Adviser at CANDLEWOOD SECURITIES, LLC located at 555 MADISON AVE. 20TH FLOOR, NEW YORK, NY, 10022.
JOHN W UHLEIN has worked at CANDLEWOOD SECURITIES, LLC since December 13, 2017
Disclosure History
JOHN W UHLEIN has 1 Disclosure Event(s).
Date: February 01, 2008 Category: Customer Dispute Allegations: CLASS ACTION SUIT/DERIVATIVE ACTION ALLEGING 10-B-5 VIOLATIONS AND FIDUCIARY DUTY. Settlement Amount: $33,000,000.00 Broker Comment: I WAS NAMED AS A DEFENDANT AS PART OF A CLASS ACTION LAWSUIT AGAINST AMBAC FINANCIAL GROUP, MY FORMER EMPLOYER. ALL OFFICERS AND BOARD MEMBERS, AND OTHER EMPLOYEES, WERE DEFENDANTS IN THIS LAWSUIT, NOW SETTLED. I PLAYED NO ROLE IN THE LAWSUIT, WAS NEVER DEPOSED, AND WAS NEVER LIABLE FOR ANY MONETARY DAMAGES. THE ALLEGATIONS IN THE COMPLAINT RELATED TO AN AREA AT AMBAC NOT UNDER MY SUPERVISION.
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