STANFORD STEWART SMITH is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 300 E. STATE STREET, SUITE 400, REDLANDS, CA, 92373.
STANFORD STEWART SMITH has worked at UBS FINANCIAL SERVICES INC. since January 11, 1995
Disclosure History
STANFORD STEWART SMITH has 2 Disclosure Event(s).
Date: October 30, 1996 Category: Customer Dispute Allegations: ACCT RELATED-NEGLIGENCE; SUITABILITY-LIMITEDPARTNERSHIPS Damage Amount Requested: $63,443.00 Settlement Amount: $11,168.00 Broker Comment: NA (PENDING) WE BELIEVE THE CASE WAS SETTLEDTHROUGH MERRILL LYNCH AND THE SETTLEMENT WAS 11,168.00Not Provided
Date: February 10, 1987 Category: Criminal Charges: ISSUING UNAUTHORIZED PAYROLL CHECKS Disposition: CIVIL COMPROMISE PRUSUANT TO 1377-78 P.C. Broker Comment: CONTROLLER TOLD ME TO EXECUTE PAYROLL CHECKS WITHMY BONUS. LATER SAID HE DIDN'T AUTHORIZE BONUS. I HAD ACCEPTEDA JOB SOME WHERE ELSE AND HEWANTED METO STAY. BONUS ANDPROMOTION WAS PART OF THE AGREEMENT TO STAY. HE TOTALLY RENEGEDON OFFER AND DID NOT COMMENT ON THE SITUATION.
More Information
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