NANCY MARIE HEISER

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

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 NANCY MARIE HEISER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.