ROGER R LLOYD is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 925 4TH AVE, SEATTLE, WA, 98104.
ROGER R LLOYD has worked at UBS FINANCIAL SERVICES INC. since January 31, 1980
Disclosure History
ROGER R LLOYD has 1 Disclosure Event(s).
Date: April 07, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES FA RECOMMENDED UNSUITABLE INVESTMENTS FOR HER ACCOUNT. DAMAGES EXCEED $5000. TIME FRAME 9/97 TO PRESENT. Broker Comment: IN SEPTEMBER 1997, THE CLIENT PURCHASED AN INVESTMENT IN A MORTGAGE REIT, RECOMMENDED FOR INCOME BY PAINEWEBBER. THE INVESTMENT WAS RATED #1 ON THE AFOREMENTIONED DATE (SCALE 1-5) WITH A DIVIDEND YEILDING APPROXIMATELY 8-1/2%. THE REAL ESTATE INDUSTRY EXPERIENCED DIFFICULTY DURING THAT PERIOD, AND THE INVESTMENT PROVED TO BE DISAPPOINTING. THE CLIENT NOW ALLEGES THAT THE INVESTMENT WAS UNSUITABLE.
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