MARVIN STANLEY EPSTEIN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3455 PEACHTREE RD. NE, ATLANTA, GA, 30326.
MARVIN STANLEY EPSTEIN has worked at UBS FINANCIAL SERVICES INC. since November 08, 2013
Disclosure History
MARVIN STANLEY EPSTEIN has 2 Disclosure Event(s).
Date: February 13, 2007 Category: Customer Dispute Allegations: TRUSTEE ALLEGES THAT THE FINANCIAL ADVISOR "FAILED TO ACT ON THE LAST PARAGRAPH OF THE LETTER DATED MAY 16, 2006 WHICH INDICATED THAT APPROXIMATELY 13 SHARES OF BERKSHIRE HATHAWAY CLASS B SHOULD BE PURCHASED." TRUSTEE FURTHER STATES I AM REQUESTING THAT THE FIRM "MAKE WHOLE ANY LOSS" SUFFERED BY THE TRUST BY VIRTUE OF ITS "FAILURE TO EXECUTE WRITTEN INSTRUCTIONS." Damage Amount Requested: $11,196.00 Settlement Amount: $7,291.00
Date: January 18, 2000 Category: Customer Dispute Allegations: CUSTOMER VERBALLY ALLEGED THAT FA DID NOT NOT CLOSED THE ACCOUNT WHEN CUSTOMEER REQUESTED. Damage Amount Requested: $220,000.00 Settlement Amount: $138,000.00 Broker Comment: CUSTOMER HAD AGREED TO KEEP ACCOUNT OPEN UPON OUR DISCUSSION.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for MARVIN STANLEY EPSTEIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.