ROY DAVID GUTIERREZ is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 10800 FINANCIAL CENTER PARKWAY, 4TH FLOOR, LITTLE ROCK, AR, 72211.
ROY DAVID GUTIERREZ has worked at UBS FINANCIAL SERVICES INC. since June 10, 1987
Disclosure History
ROY DAVID GUTIERREZ has 3 Disclosure Event(s).
Date: March 31, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MISREPRESENTED THE AUCTION RATE SECURITIES AS SECURE, LIQUID MONEY MARKET ALTERNATIVES. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000. TIME FRAME 2008. Damage Amount Requested: $5,000.00 Broker Comment: THE COMPLAINT AROSE BECAUSE OF UNPRECEDENTED MARKET EVENTS THAT CAUSED THE BREAKDOWN OF LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES.
Date: March 27, 2003 Category: Customer Dispute Allegations: CUSTOMERS COMPLAIN THAT THEY WERE PLACED WITH AN UNSUITABLE MONEY MANAGER. THEY INDICATE THAT THEY TRUSTED THEIR BROKER TO INVEST AND MAKE RECOMMENDATIONS THAT WERE CONSISTENT WITH THEIR CONSERVATIVE AND MODERATE INVESTMENT GOALS. TIME PERIOD: 2000 - 2002 Damage Amount Requested: $750,000.00
Date: August 27, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT INVESTMENT PROGRAM WAS MISREPRESENTED AND THAT A MUNDER FUND WAS SPECULATIVE. ESTIMATED DAMAGES EXCEED $5000. TIME PERIOD: UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIMS ARE WITHOUT MERIT. INVESTMENTS WERE CONSISTENT WITH CONSIDERABLE CONVERSATIONS I HAD WITH THE CUSTOMER.
More Information
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