MATTHEW K TOMPKINS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at MELLON BANK CTR., 1735 MARKET STREET, PHILADELPHIA, PA, 19103.
MATTHEW K TOMPKINS has worked at UBS FINANCIAL SERVICES INC. since May 25, 2001
Disclosure History
MATTHEW K TOMPKINS has 2 Disclosure Event(s).
Date: July 06, 1998 Category: Customer Dispute Allegations: CLIENTS' DAUGHTER ALLEGED THAT THE CLIENTS'ACCOUNT WAS NOT MANAGED IN A SUITABLE MANNER ALLEGED DAMAGESUNSPECIFIED Settlement Amount: $9,900.00 Broker Comment: THE CLAIM WAS SETTLED FOR $9,900.NOT PROVIDED
Date: March 11, 1992 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNSUITABLE INVESTMENTS ANDCHURNING AND ALLEGED $174,000 IN DAMAGES. Damage Amount Requested: $174,000.00 Settlement Amount: $52,000.00 Broker Comment: SETTLEMENT OF $52,000Not Provided
More Information
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