RICHARD BRANSON MARCHISIO

RICHARD BRANSON MARCHISIO is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 801 LAUREL OAK DRIVE, SUITE 500, SUNTRUST BUILDING, NAPLES, FL, 34108.

RICHARD BRANSON MARCHISIO has worked at UBS FINANCIAL SERVICES INC. since October 10, 2007

Disclosure History

RICHARD BRANSON MARCHISIO has 4 Disclosure Event(s).

Date: April 10, 2014
Category: Customer Dispute
Allegations: TIME FRAME: NOVEMBER 23, 2011 TO APRIL 10, 2014THE CLIENT ALLEGES CONCERNS WITH CONCENTRATION OF PUERTO RICO MUNICIPAL BONDS IN HIS ACCOUNT. THE ALLEGED DAMAGES ARE IN EXCESS OF $5,000.00
Settlement Amount: $23,850.41

Date: July 14, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HE WAS NOT TOLD THAT THE BOND AT ISSUE WAS VARIABLE, AND THAT THE FINANCIAL ADVISOR REPRESENTED THAT INVESTMENT IN AUCTION RATE SECURITIES WAS LIQUID INVESTMENT. DAMAGES UNSPECIFIED. UNABLE TO CONCLUDE DAMAGES ARE LESS THAN $5,000.
Damage Amount Requested: $50,000.00
Settlement Amount: $50,000.00
Broker Comment: THE COMPLAINT AROSE AS THE RESULT INDUSTRY-WIDE ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET, OVER WHICH THE FINANCIAL ADVISOR DID NOT HAVE CONTROL.

Date: June 22, 2005
Category: Customer Dispute
Allegations: DAUGHTER OF CLIENT WHO HAS POA ALLEGES UNSUITABLE INVESTMENTS AND EXCESSIVE TRADING FROM 2003 TO PRESENT.
Damage Amount Requested: $30,000.00

Date: November 25, 1998
Category: Customer Dispute
Allegations: THE SMITH BARNEY CLIENTS ALLEGEDMISREPRESENTATION, UNSUITABILITY AND FAILURE TO FOLLOWINSTRUCTIONS-MUTUAL FUNDS. ALLEGED DAMAGES:UNSPECIFIED
Broker Comment: THE CLAIM WAS DENIED.Not Provided

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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