LEO KHOROLINSKY

LEO KHOROLINSKY is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 5 REVERE DRIVE, 1 NORTHBROOK PLACE, NORTHBROOK, IL, 60062.

LEO KHOROLINSKY has worked at UBS FINANCIAL SERVICES INC. since February 24, 2012

Disclosure History

LEO KHOROLINSKY has 1 Disclosure Event(s).

Date: November 12, 2002
Category: Customer Dispute
Allegations: WRITTEN COMPLAINT ALLEGED THAT FA TRADED WITH DISCRETION WITHOUT WRITTEN PAPERS AND PURCHASED AGGRESSIVE INVESTMENTS WHEN CUSTOMER STRESSED CONSERVATIVE INVESTMENT OBJECTIVES.
Damage Amount Requested: $77,336.00
Broker Comment: THIS MATTER ARISES OUT OF TRANSACTIONS UNDERTAKEN AT A PRIOR OR PREVIOUS FIRM. WELLS FARGO ADVISORS HAS NO RECORDS OR INFORMATION RELATING TO THE ISSUES REPRESENTED IN THIS REPORT. THE MATTER IS CONSIDERED CLOSED.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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