RICHARD PAUL GRODZICKI

RICHARD PAUL GRODZICKI is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3455 PEACHTREE RD. NE, ATLANTA, GA, 30326.

RICHARD PAUL GRODZICKI has worked at UBS FINANCIAL SERVICES INC. since February 27, 2009

Disclosure History

RICHARD PAUL GRODZICKI has 1 Disclosure Event(s).

Date: January 05, 2000
Category: Customer Dispute
Allegations: CLIENT ALLEGED "THAT THERE HAVE BEEN MANY VIOLATIONS OF SECURITIES LAWS ON [HER ACCOUNT]" AND THAT HER "REGISTERED REPRESENTATIVE HAS VIOLATE HIS FIDUCIARY RESPONSIBILITIES" WITH RESPECT TO TWO STOCKS THAT WERE TRANSFERRED OUT OF HER ACCOUNT WITHOUT HER AUTHORIZATION.
Broker Comment: THE CLAIM WAS DENIED.

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.

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