KELLEY MARIE TATREAU is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE VALMONT PLAZA; SUITE 300, OMAHA, NE, 68154-5220.
KELLEY MARIE TATREAU has worked at UBS FINANCIAL SERVICES INC. since August 12, 2006
KELLEY MARIE TATREAU has 3 Disclosure Event(s).
Date: July 14, 2006 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE REPRESENTATIVE MADE UNSUITABLE RECOMMENDATIONS AND FAILED TO DIVERSIFY CONCENTRATED PORTFOLIO OF SPECULATIVE STOCKS. Damage Amount Requested: $1,000,000.00 Settlement Amount: $40,000.00
Date: January 03, 2003 Category: Customer Dispute Allegations: CLAIMANTS, BOTH IN THEIR 60S AT THE TIME THEY FILED THEIR STATEMENT OF CLAIM, ALLEGE THAT THEIR PIPER JAFFRAY PORTFOLIO WAS UNSUITABLE IN THAT IT'S ALLOCATION WAS EXCESSIVELY RISKY AND "GROSSLY OVER-CONCENTRATED" IN LEVEL 3 COMMUNICATIONS STOCK. Damage Amount Requested: $725,000.00 Settlement Amount: $90,000.00 Broker Comment: CLAIMANTS BROUGHT SUITABILITY CLAIMS WHICH WERE UNANIMOUSLY DISMISSED BY A THREE-MEMBER NASD ARBITRATION PANEL IN 2004. THE NASD PANEL ALSO RECOMMENDED THE EXPUNGEMENT OF THE MATTER FROM THE FINANCIAL ADVISOR'S CRD. THE CASE WAS REMANDED FOR A NEW HEARING BECAUSE ONE ARBITRATROR HELD A SMALL, UNDISCLOSED INTEREST IN PIPER STOCK, AND WAS SETTLED THEREAFTER, WITHOUT ANY ADMISSION OF LIABILITY, TO AVOID THE TIME, EXPENSE AND INCONVENIENCE OF A RE-TRIAL. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: November 25, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY AND OVER CONCENTRATION IN LVLT AND OTHER TELECOM AND TECHNOLOGY STOCKS AND MUTUAL FUNDS. Damage Amount Requested: $200,000.00 Broker Comment: THIS CUSTOMER COMPLAINT NO LONGER REPORTABLE.
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