JORGE L LOPEZ-BALBOA is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1501 K. STREET NW, WASHINGTON, DC, 20005.
JORGE L LOPEZ-BALBOA has worked at UBS FINANCIAL SERVICES INC. since September 23, 2009
Disclosure History
JORGE L LOPEZ-BALBOA has 2 Disclosure Event(s).
Date: September 01, 1990 Category: Customer Dispute Allegations: ALLEGATIONS OF COMMON LAW NEGLIGENCE ANDBREACH OF FIDUCIARY DUTY PREDICATED PRIMARILY ON ALLEGATIONS OFCHURNING AND SUITABILITY. ALLEGED DAMAGES IN THE AMOUNT OF$2,000,000.00. Damage Amount Requested: $2,000,000.00 Settlement Amount: $115,000.00 Broker Comment: Not ProvidedRESPONDENTS CONTINUE TO VEHEMENTLY DENY ALLALLEGATIONS OF WRONGDOING AND EVER THAT THE SETTLEMENT WASREACHED IN VIEW OF THE ECONOMICS ENTAILED IN A PROTRACTEDLITIGATION OF THIS NATURE. MR BALBOA WAS NOT CHARGED WITH ANYPORTION OF THIS SETTLEMENT.
Date: November 20, 1978 Category: Regulatory
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