RICHARD JAMES ROHR is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 750 WASHINGTON BLVD., STAMFORD, CT, 06901.
RICHARD JAMES ROHR has worked at UBS FINANCIAL SERVICES INC. since November 09, 2007
Disclosure History
RICHARD JAMES ROHR has 2 Disclosure Event(s).
Date: August 09, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FINANCIAL ADVISOR PLACED HER IN UNSUITABLE INVESTMENTS. DAMAGES ARE UNSPECIFIED.
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.
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