JOSEPH PAUL DIFILIPPO

JOSEPH PAUL DIFILIPPO is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1337 TILTON ROAD, NORTHFIELD, NJ, 08225.

JOSEPH PAUL DIFILIPPO has worked at UBS FINANCIAL SERVICES INC. since December 08, 2008

Disclosure History

JOSEPH PAUL DIFILIPPO has 2 Disclosure Event(s).

Date: March 25, 2015
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION.
Damage Amount Requested: $100,000.00

Date: December 10, 1992
Category: Customer Dispute
Allegations: FAILURE TO SUPERVISE - APPROXIMATELY$6,000,000 CLAIMED
Damage Amount Requested: $6,000,000.00
Settlement Amount: $2,650,000.00
Broker Comment: MERRILL LYNCH AGREED TO PAY $2.65 MILLION TOSETTLE THIS MATTER TO AVOID LITIGATION AGAINST 19 FAMILYMEMBERS, WHICH WOULD HAVE BEEN COSTLY AND TIME CONSUMING.Not Provided

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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