JOSEPH BRIAN CALAO is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 200 W. HIGHWAY 6, AMERICAN PLAZA STE. 400, WACO, TX, 76712.
JOSEPH BRIAN CALAO has worked at UBS FINANCIAL SERVICES INC. since January 29, 2009
Disclosure History
JOSEPH BRIAN CALAO has 1 Disclosure Event(s).
Date: May 25, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT HE ENTERED INTO AN ORAL CONTRACT WITH THE RR PURSUANT TO WHICH THE RR AGREED THAT HE WOULD NOT LOSE ANY OF THE CLIENT'S PRINCIPAL. Damage Amount Requested: $12,600.00 Broker Comment: MERRILL LYNCH AND MR. JOSEPH CALAO DENY [CUSTOMER'S] ALLEGATIONS IN THEIR ENTIRETY. ALL INVESTMENT RECOMMENDATIONS WERE MADE AS CONSISTENT WITH THE CLIENT'S STATED INVESTMENT OBJECTIVE AND RISK TOLERANCE. [CUSTOMER] WAS ADVISED ON SEVERAL OCCASSIONS OF THE FIRM'S POSITION. WE CONSIDER THIS MATTER.
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