JOSEPH FABIO

JOSEPH FABIO is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 61 SOUTH PARAMUS ROAD, MACK CENTER IV, PARAMUS, NJ, 07652.

JOSEPH FABIO has worked at UBS FINANCIAL SERVICES INC. since January 23, 2009

Disclosure History

JOSEPH FABIO has 2 Disclosure Event(s).

Date: February 14, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THE MR. FABIO MADE UNSUITBALE RECOMMENDATIONS.
Damage Amount Requested: $8,000.00

Date: March 20, 1995
Category: Customer Dispute
Allegations: UNSPECIFIED DAMAGES. ALLEGES UNSUITABLETRADING.
Settlement Amount: $20,000.00
Broker Comment: N/A SETTLED FOR $20,000.THE ALLEGATIONS ARE DENIED. MERRILL LYNCH SETTLEDTHE MATTER AS A BUSINESS DECISION.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for JOSEPH FABIO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.