RUSSELL EDWIN HERMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 18851 NE 29TH AVENUE, AVENTURA, FL, 33180.
RUSSELL EDWIN HERMAN has worked at UBS FINANCIAL SERVICES INC. since February 27, 2013
Disclosure History
RUSSELL EDWIN HERMAN has 2 Disclosure Event(s).
Date: July 08, 2015 Category: Customer Dispute Allegations: TIME FRAME: NOT STATEDCLIENT'S COUNSEL ALLEGES UNSUITABILITY, UNAUTHORIZED TRADING AND BRACH OF FIDUCIARY DUTY. Settlement Amount: $87,500.00
Date: March 13, 2001 Category: Customer Dispute Allegations: ALLEGING MISMANAGEMENT OF ACCOUNT AND BREACH OF FIDUCIARY RESPONSIBILITY. Damage Amount Requested: $270,538.00 Broker Comment: THOMAS MIERSWA IS HANDLING THIS MATTER.
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