STEPHEN BARRY EGBERT is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 40 CONGRESS STREET, PORTSMOUTH, NH, 03801.
STEPHEN BARRY EGBERT has worked at UBS FINANCIAL SERVICES INC. since March 21, 2003
Disclosure History
STEPHEN BARRY EGBERT has 2 Disclosure Event(s).
Date: January 03, 2002 Category: Customer Dispute Allegations: CLAIM OF UNSUITABLE INVESTMENT IN TECHNOLOGY STOCKS. DAMAGE AMOUNT UNSPECIFIED.
Date: April 29, 1986 Category: Regulatory Initiated By: AMERICAN STOCK EXCHANGE Allegations: EGBERT WAS DISCIPLINED FOR VIOLATING EXCHANGE RULES 320(B) IN THAT HE FAILED TO SUPERVISE A REGISTERED EMPLOYEE BY FAILING TO REQUIRE HIM TO INDICATE ON HIS ORDERTICKETS PRIOR TO EXECUTION THE IDENTITY OF THE ACCOUNT(S) FOR WHICH TRADES WERE TO BE EXECUTED, AND BY FAILING TO REQUIRE HIM TO DELIVER APPROPRIATE ORDER TICKETS FOR TRADES TO THE BRANCH OFFICE WIRE ROOM. Resolution: Consent SanctionDetails: Sanctions: Censure Sanction Details: EGBERT WAS CENSURED. ALL THREE PARTIES SETTLED THE CHARGES WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS. Broker Comment: Not Provided
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