Rebecca Emmanuel Rooney is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 299 PARK AVE, 26TH FLOOR, NEW YORK, NY, 10171.
Rebecca Emmanuel Rooney has worked at UBS FINANCIAL SERVICES INC. since December 15, 2017
Disclosure History
Rebecca Emmanuel Rooney has 1 Disclosure Event(s).
Date: January 18, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE REP "FACILITATED" THE THEFT OF TRUST FUNDS WHEN A CO-TRUSTEE ON THE ACCOUNT WROTE A CHECK FROM THE ACCOUNT ON 1/14/2014. Damage Amount Requested: $14,665.98 Broker Comment: I DID NOT FACILITATE THE TRANSACTION IN QUESTION. THERE IS NO MERIT TO THIS CLAIM, AND I DENY ANY WRONGDOING. THE ALLEGED TRANSACTION WAS CONDUCTED BY A CO-TRUSTEE WHO WAS AUTHORIZED ON THE ACCOUNT.
More Information
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