KURT ELLIOTT MAIER

KURT ELLIOTT MAIER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 555 CALIFORNIA ST, 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA, 94104.

KURT ELLIOTT MAIER has worked at UBS FINANCIAL SERVICES INC. since November 20, 2015

Disclosure History

KURT ELLIOTT MAIER has 2 Disclosure Event(s).

Date: November 03, 2009
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES CERTAIN INVESTMENTS IN GOVERNMENT AGENCY SECURITIES AND 2 INCOME MUTUAL FUNDS WERE UNSUITABLE AND OVERLY CONCENTRATED
Damage Amount Requested: $200,000.00
Settlement Amount: $50,000.00
Broker Comment: DEFENDANTS DENY ANY AND ALL CLAIMS MADE BY CLAIMANT. CLAIM WAS SETTLED TO AVOID FURTHER SIGNIFICANT INCREASE IN LEGAL EXPENSES.

Date: September 23, 2002
Category: Customer Dispute
Allegations: AFTER SUFFERING LOSSES DURING WEAK AND VOLATILE MARKET CONDITIONS, COMPLAINANTS NOW ALLEGE THAT CLASS B MUTUAL FUND SHARES THEY HAD PURCHASED MORE THAN THREE YEARS AGO WERE IMPROPERLY RECOMMENDED TO THEM AND THAT CERTAIN ACTIVITY TRANSACTED IN THEIR ACCOUNTS WAS UNSUITABLE. ALLEGED DAMAGES ARE UNSPECIFIED BUT ESTIMATED TO EXCEED MINIMUM FILING REQUIREMENTS.
Settlement Amount: $68,750.00

More Information

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

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