STEPHEN MICHAEL PINCIN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at ONE POINTE DRIVE, SUITE 355, BREA, CA, 92821.
STEPHEN MICHAEL PINCIN has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since May 26, 2016
Disclosure History
STEPHEN MICHAEL PINCIN has 2 Disclosure Event(s).
Date: September 30, 2002 Category: Employment Separation After Allegations Firm Name: UBS PAINEWEBBER, INC. Termination Type: Permitted to Resign Allegations: THE INTERNAL REVIEW WAS BASED UPON THE FA'S DISTRIBUTION OF MARKETING/ADVERTISING MATERIALS AND THE MANNER IN WHICH THOSE MATERIALS WERE DISSEMINATED. Broker Comment: ON SEPTEMBER 30, 2002, FINANCIAL ADVISOR STEPHEN PINCIN RESIGNED FROM UBS PAINEWEBBER. AT THE TIME OF HIS RESIGNATION, STEPHEN PINCIN WAS UNDER INTERNAL REVIEW REGARDING VIOLATIONS OF THE FIRM'S ELECTRONIC COMMUNICATIONS POLICY AND THE FIRM'S POLICY ON COMMUNICATION WITH PROSPECTIVE CLIENTS.
Date: June 01, 2001 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE MISREPRESENTATION, UNSUITABILITY AND BREACH OF FIDUCIARY DUTY IN CONNECTION WITH INVESTMENTS IN THEIR ACCOUNT. Damage Amount Requested: $153,025.00 Settlement Amount: $25,000.00
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