QUANG N BUI is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1145 BROADWAY, SUITE 1400, TACOMA, WA, 98402-3503.
QUANG N BUI has worked at UBS FINANCIAL SERVICES INC. since February 09, 2007
Disclosure History
QUANG N BUI has 1 Disclosure Event(s).
Date: August 03, 2009 Category: Customer Dispute Allegations: TIME FRATHE CLIENT'S COUNCIL ALLEGES THAT THE BRANCH MANAGERS RESPONSIBLE FOR SUPERVISING THE FINANCIAL ADVISOR "KNEW OR SHOULD HAVE KNOWN" THAT CHURNING, BUYING SECURITIES ON MARGIN, CONCENTRATING A LARGE PERCENTAGE OF HIS CLIENT'S ACCOUNT VALUE IN VOLATILE STOCKS AND HIGH- YIELD JUNK BONDS WAS UNSUITABLE AND FRAUDULENT FOR AN ELDERLY WIDOW. THE CLIENT'S COUNCIL FURTHER ALLEGES THAT THE ACTIVITY REVIEWS AND EXCEPTION REPORTS GENERATED BY THE FINANCIAL ADVISOR'S AGGRESSIVE TRADING CLEARLY SHOULD HAVE PLACED THE BRANCH MANAGERS ON NOTICE ABOUT HIS FRAUD ME: MARCH 20, 2000 TO JUNE 30, 2009. Damage Amount Requested: $5,000.00
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 QUANG N BUI, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.