PETER NAVARETTA is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 712 SOUTH EAST OCEAN BLVD., GROUND FLOOR, STUART, FL, 34994.
PETER NAVARETTA has worked at UBS FINANCIAL SERVICES INC. since July 15, 2011
PETER NAVARETTA has 2 Disclosure Event(s).
Date: September 12, 1990 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT I BOUGHT UNRATED BONDS FOR IS IRA ROLLOVER ACCOUNT AS WELL AS OTHER SECURITIES HE DID NOT AUTHORIZE. SOUGH UNSPECIFIED AMOUNT. Damage Amount Requested: $100,000.00 Settlement Amount: $20,000.00 Broker Comment: THE FIRM AGREED TO PAY THE CLIENT $20,000 TO SETTLE ALL CLAIMS. I WAS NOT ASKED TO CONTRIBUTE.
Date: June 14, 1988 Category: Customer Dispute Allegations: CUSTOMERS VS MEMBER FIRM AND REGISTERED REPS.FOR FAILURE TO FOLLOW CUSTOMERS INSTRUCTIONS (CSS, MONEY MARKETOR GINNEY MACS) REGARDING INVESTMENT OF A LUMP SUM PENSIONPAYMENT RESPONDENTS ASSERT CLAIMANTS OVERRIDING CONCERN WASGROWTH RATHER THAN SAFETY AND CONSENTED IN INVESTMENTS IN "HIGHYIELD" FUNDS AND THAT LOSSES WERE DUE TO LEGITIMATE MARKETFLUCTUATIONS AND NOT BY THEIR ACTIONS. CLAIM $12,067.71;PUNITIVE $0.00; ATTY FEES $0.00. Damage Amount Requested: $12,067.71 Damages Granted: $3,300.00 Broker Comment: RESPONDENT SHEARSON LEHMAN HUTTON HEREBY ORDEREDTO PAY TO THE CLAIMANTS THE SUM OF $2,500.00 RESPONDENTS ARE TOBE ASSESSED THE COSTS OF $800.00 IN THIS MATTER.I INHERITED THE ACCOUNT FROM A BROKER THAT PASSEDAWAY AT E.F. HUTTON [CUSTOMER] ALREADY HAD THE INVESTMENT. HEROLLED OVER HIS IN THE SAME INVESTMENT. I LEFT E.F. HUTTON WHENIT WAS SOLD TO SHEARSON. [OTHER FIRM EMPLOYEE] INHERITED THE ACCOUNT ANDPLACED IT. (I BELIEVE IN JUNK BOND FUNDS). AT THE TIME OF THECOMPLAINTS I WAS AT PRUDENTIAL SECURITIES. I HAD NO KNOWLEDGEOF[OTHER FIRM EMPLOYEE] ACTIONS, AS I HAD INHERITED THE ACCOUNT.
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