MICHAEL CHARLES O SHAUGHNESSEY is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 8801 RIVER CROSSING BLVD, 4th FLOOR, INDIANAPOLIS, IN, 46240.
MICHAEL CHARLES O SHAUGHNESSEY has worked at UBS FINANCIAL SERVICES INC. since January 23, 2009
Disclosure History
MICHAEL CHARLES O SHAUGHNESSEY has 1 Disclosure Event(s).
Date: June 16, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FA MAINTAINED AN UNSUITABLE CONCENTRATION OF TECHNOLOGY STOCKS IN HIS SEP IRA. Damage Amount Requested: $180,000.00 Broker Comment: MERRILL LYNCH HAS INVESTIGATED THE ALLEGATIONS AND DETERMINED THEY HAVE NO MERIT. MERRILL LYNCH REPLIED TO THE CLIENT AND THE CLIENT HAS YET TO RESPOND. WE ASSUME THAT THEY AGREE WITH OUR FINDINGS.
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