KEVIN EDWARD BIRCH

KEVIN EDWARD BIRCH is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2 INTERNATIONAL PL FL 20, BOSTON, MA, 02110.

KEVIN EDWARD BIRCH has worked at WELLS FARGO CLEARING SERVICES, LLC since December 03, 2009

Disclosure History

KEVIN EDWARD BIRCH has 1 Disclosure Event(s).

Date: October 23, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FA "BOUGHT STOCKS IN MY MOTHER'S NAME...WELL AFTER HER PASSING AND WELL AFTER HE WAS AWARE OF IT." CLIENT ALLEGES THAT "HE HAD ABSOLUTELY NO PERMISSION TO DO THIS."
Damage Amount Requested: $6,200.42
Broker Comment: UBS PAINE WEBBER HAS DENIED THIS COMPLAINT AND ACCORDINGLY NO PAYMENT OR SETTLEMENT OF ANY KIND HAS BEEN AWARDED.THE ALLEGED UNAUTHORIZED STOCK PURCHASES WERE ACTUALLY MADE PURSUANT TO A RESOURCE ACCUMULATION PLAN THAT HAD BEEN INSTITUTED BY THE CLIENT. THE PLAN AUTHORIZED AUTOMATIC MONTHLY PURCHASES OF A MUTUAL FUND AND HAD BEEN IN EXISTENCE FOR ONE AND A HALF YEARS PRIOR TO THE CLIENT'S DEMISE. AFTER THE DEATH OF THE CLIENT, THIS PLAN WAS PROMPTLY TERMINATED UPON THE REALIZATION THAT IT WAS STILL IN EFFECT.

More Information

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