SEAN VANCE DILLON is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE POST OFFICE SQUARE, BOSTON, MA, 02109.
SEAN VANCE DILLON has worked at UBS FINANCIAL SERVICES INC. since April 23, 1986
SEAN VANCE DILLON has 9 Disclosure Event(s).
Date: February 07, 1995 Category: Customer Dispute Allegations: CLAIMANT ALLEGED UNSUITABILITY ANDMISREPRESENTATION REGARDING THE PURCHASE OF EQUITIES AND BONDSIN 1992-1994. CLAIMED DAMAGES OF $107,918.00. Damage Amount Requested: $107,918.00 Settlement Amount: $27,500.00 Broker Comment: FOR BUSINESS REASONS, MATTER WAS SETTLED BYPAINEWEBBER PAYING $17,500.00 AND SEAN DILLION PAYING $10,000,AND CLAIMANT EXECUTING A COMPLETE RELEASE.CLAIMANT IS AN INSTITUTIONAL MARTGAGE COMPANYMANAGED BY SOPHISTICATED OFFICERS THESE OFFICERS FULLYUNDERSTOOD, AUTHORIZED AND RATIFIED THE INVESTMENTS MADE ONTHEIR BEHALF AND WERE FULLY COGNIZANT OF THE RIKS ASSOCIATEDWITH THOSE INVESTMENTS; PREDOMINANTLY, INVESTMENT RATEFLUCTUATIONS. THE INVESTMENT PORTFOLLO WAS SUITABLE FOR THECLIENT.
Date: December 29, 1993 Category: Customer Dispute Allegations: UNSUITABLE, EXCESSIVE & UNAUTHORIZED TRADING,UNAUTHORIZED USE OF MARGIN, FRAUD, FORGERY, AND DAMAGES OF$100,000. Damage Amount Requested: $100,000.00 Settlement Amount: $99,900.00 Broker Comment: PAINEWEBBER PAID [CUSTOMER] $99,900 TO SETTLEWITHOUT ADMITTING LIABILITY.FOR FURTHER INFORMATION, PLEASE CONTACT [THIRD PARTY] AT (201) 902-6669.
Date: January 18, 1993 Category: Customer Dispute Allegations: CLAIMANT ALLEGED UNSUITABLE AND EXCESSIVETRADING AND DAMAGES IN EXCESS OF $40,000 AS A RESULT OF EVENTSIN 1986 1987. Damage Amount Requested: $42,000.00 Settlement Amount: $14,250.00 Broker Comment: RESPONDENTS PAINEWEBBER INCORPORATED AND SEANDILLON AGREED TO SETTLE WITH CLAIMANT FOR $14,250 WITHOUTADMITTING LIABILITY. DILLION WILL CONTRIBUTE $4,250 TOWARD THESETTLEMENT.Not Provided
Date: February 12, 1992 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING IN UNSUITABLE SECURITIES Settlement Amount: $35,000.00 Broker Comment: CASE SETTLED FOR $35,000.00CLIENT ALLEGED LOSSES OF OVER $50,000.00 AS ARESULT OF UNAUTHORIZED TRADING IN UNSUITABLE SECURITIES. CASESETTLED FOR $35,000.00 WITH NO ADMISSION OF LIABILITY.PAINEWEBBER WILL PURSUE BROKER FOR CONTRIBUTION .
Date: May 01, 1991 Category: Customer Dispute Allegations: UNSUITABILITY FORGERY OF ACCOUNT DOCUMENTS:UNAUTHORIZED TRADES, DAMAGES ALLEGED OF EITHER $300,000.00 OR$184,000.00. Damage Amount Requested: $300,000.00 Damages Granted: $72,576.32 Broker Comment: AWARD AGAINST PAINEWEBBER AND SEAN DILLON, JOINTAND SEVERAL, FOR $72,576.32.Not Provided
Date: January 25, 1991 Category: Customer Dispute Allegations: CLAIMANT ALLEGED UNSUITABLE AND UNAUTHORIZEDTRANSACTIONS, FRAUD, AND MISREPRESENTATIONS IN CONNECTION WITHTRADING IN HER SECURITIES ACCOUNT. Damage Amount Requested: $100,000.00 Damages Granted: $92,792.00 Broker Comment: PANEL ISSUED AWARD OF $92.792.00 IN FAVOR OFCLAIMANT AND AGAINST PAINEWEBBER AND SEAN DILLON JOINTLY ANDSEVERALYNot Provided
Date: June 26, 1989 Category: Customer Dispute Allegations: CLAIMANT [CUSTOMER] ALLEGES DILLON MADE UNSUITABLERECOMMENDATIONS AND ENGAGED IN UNAUTHORIZED TRADING. Settlement Amount: $11,000.00 Broker Comment: PAINEWEBBER SETTLED THE MATTER WITH THE CLIENT FO$11,000. MR. DILLON WILL BE CONTRIBUTING $5,500 TO THESETTLEMENT.
Date: December 29, 1987 Category: Customer Dispute Allegations: [CUSTOMERS] ALLEGEUNAUTHORIZED DISCRETION MATERIAL MISREPRESENTATIONS,UNSUITABILITY AND EXCESSIVE TRADING. Settlement Amount: $45,000.00 Broker Comment: PAINEWEBBER SETTLED WITH THE [CUSTOMERS] FOR$45,000.
Date: October 07, 1979 Category: Criminal Charges: MAIL FRAUD Disposition: CASE WAS DISMISSED Broker Comment: Not Provided
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