STANFORD STEWART SMITH

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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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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