JONATHAN BOLTER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3001 DOUGLAS BLVD, ROSEVILLE, CA, 95661.
JONATHAN BOLTER has worked at UBS FINANCIAL SERVICES INC. since August 01, 2014
Disclosure History
JONATHAN BOLTER has 2 Disclosure Event(s).
Date: January 16, 2003 Category: Customer Dispute Allegations: CLIENT HAS COMPLAINED THAT OVER THE PAST TWO YEARS (2001-2002) HE HAS BEEN SOLD UNSUITABLE EQUITY SECURITIES AND THAT AS A RESULT HE HAS SUFFERED LOSSES. HE ALSO CLAIMS THAT HE HAS PAID FOR SERVICES THAT HE DID NOT RECEIVE. HIS CLAIM IS NOT SPECIFIC, HOWEVER, HIS LOSSES ARE APPROXIMATELY $23,000. Damage Amount Requested: $23,000.00 Broker Comment: THE FIRM HAS DETERMINED THAT THE CLIENT'S CLAIMS ARE DEFENSIBLE AND HAS DENIED ANY WRONGDOING.
Date: July 20, 1995 Category: Customer Dispute Allegations: CUSTOMERS SONS WHO IS AN ATTORNEY BY TRAININGORALLY CLAIMED THIS REQUESTED REPRESENTATIVE MADE EXCESSIVETRADES AND UNSUITABLE RECOMMENDATIONS IN PARENTS ACCOUNTS. Damage Amount Requested: $95,000.00 Settlement Amount: $95,000.00 Broker Comment: THE FIRM SETTLED THIS MATTER FOR $95,000.00. ANDTHIS REGISTERED REPRESENTATIVE AGREED TO CONTRIBUTE, WITHOUTADMITTING OR DENYING LIABILITY, $14,176.36 OVER SIX MONTHS.NOT PROVIDED
More Information
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