KEVIN EUGENE WAGNER

KEVIN EUGENE WAGNER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3450 DOWLEN ROAD, SUITE A, BEAUMONT, TX, 77706.

KEVIN EUGENE WAGNER has worked at UBS FINANCIAL SERVICES INC. since February 20, 2015

Disclosure History

KEVIN EUGENE WAGNER has 1 Disclosure Event(s).

Date: January 01, 1980
Category: Customer Dispute
Allegations: CUSTOMER FILED SUIT AGAINST MERRILL LYNCH ANDWAGNER BECAUSE OF GOLD TRADING IN LATE JANUARY 1980 BECAUSEEXPRESSED DESIRE TO CLOSE GOLD EXPOSURE IN SPREAD TRANSACTION.WAGNER & OFFICE TRANSMITTED PROPER ORDER APPROX 10M UNITSREMAINING IN THE DAY'S MARKET, MERRILL'S FLOOR TRADERS DID NOTEXECUTE. NEXT DAY GOLD MARKET OPENED SUBSTANTIALLY LOWERRESULTING IN LOSS FOR CLIENT. Damages Granted: $200,000.00
Broker Comment: CUSTOMER RECEIVED CASH AWARD IN EXCESS OF$200,000.00 BY MERRILL FOR LOSSES INCURRED.Not Provided

More Information

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