NANCY MARIE HEISER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 200 PARK AVE, 18TH FLOOR, NEW YORK, NY, 10166.
NANCY MARIE HEISER has worked at UBS FINANCIAL SERVICES INC. since April 20, 2011
Disclosure History
NANCY MARIE HEISER has 2 Disclosure Event(s).
Date: April 12, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABILITY WITH REGARD TO THE PURCHASE OF AN EQUITY AND A MUTUAL FUND. THE CLIENT ALSO ALLEGED THAT SHE WAS ASSURED THAT SHE WOULD BE KEPT INFORMED IF HER STOCKS WERE GOING DOWN BUT SHE WAS NEVER CONTACTED. MARCH 2000 THROUGH APRIL 2001. Damage Amount Requested: $30,400.00 Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: March 18, 1997 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE PURCHASE OF A STOCKWAS UNAUTHORIZED. ALLEGED DAMAGES: $36,512.61 Damage Amount Requested: $36,512.61 Settlement Amount: $33,371.30 Broker Comment: THE CLAIM WAS SETTLED FOR A TOTAL OF $33,371.30CONTACT: LINDA R SCHAFFER (212) 723-3120Not Provided
More Information
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