LAWRENCE J. JOHN HAYES is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3601 Rigby Road, Suite 500, Miamisburg, OH, 45342.
LAWRENCE J. JOHN HAYES has worked at UBS FINANCIAL SERVICES INC. since May 27, 2009
Disclosure History
LAWRENCE J. JOHN HAYES has 2 Disclosure Event(s).
Date: August 07, 1992 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY IN CONNECTION WITHROLE AS MANAGER Damage Amount Requested: $130,000.00 Settlement Amount: $20,000.00 Broker Comment: SHEARSON AGREED TO PAY $20,000,00I WAS NOT THE FINANCIAL CONSULTANT OF RECORD ONTHIS ACCOUNT. SHEARSON DID NOT ADMIT ANY WRONG DOING. THE STOCKOPENED DOWN 30 POINTS IN ONE DAY. SHEARSON WAS A MARKET MAKER.WITH CLIENT'S POSITION OF 10,000 SHARES, A DROP OF $300,000EQUITY. THE SON AND ATTORNEY COUNSELED THE FATHER TO SUE(FATHER IS NOW SINCE DECEASED.)
Date: April 23, 1990 Category: Customer Dispute Allegations: THE SHEARSON LEHMAN BROTHERS CLIENT ALLEGED(ACCOUNT RELATED) FAILURE TO SUPERVISE ALLEGED DAMAGES -$250,000.00 Damage Amount Requested: $250,000.00 Settlement Amount: $85,000.00 Broker Comment: SETTLED FOR $85,000.00. FIRM TO PAY ALL BUT$12,000.00 OF SETTLEMENT AMOUNT. CO-RESPONDENT LIEB TO PAY THEDIFFERENCEPLEADINGS PROVIDED TO THE NASD AND AMEX ON MAY15, 1981. THIS MATTER WAS SETTLED FOR $85,000.00. MR. LIEBCONTRIBUTING $12,000.00 AND SHEARSON LEHMAN BROTHERS, INC. WILLPAY THE BALANCE. MR. HAYES WAS ONLY NAMED BECAUSE HE WAS THEAGENTS MANAGER.
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