THOMAS BISHOP is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 61 SOUTH PARAMUS ROAD, MACK CENTER IV, PARAMUS, NJ, 07652.
THOMAS BISHOP has worked at UBS FINANCIAL SERVICES INC. since May 05, 2010
Disclosure History
THOMAS BISHOP has 1 Disclosure Event(s).
Date: February 14, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGES NEGLIGENCE AND SUITABILITY ISSUES RELATED TO INVESTMENTS IN MUNICIPAL BOND FUNDS AND COMMON STOCKS. Damage Amount Requested: $100,488.00 Settlement Amount: $9,999.00 Broker Comment: CASE SETTLED ONLY TO AVOID THE EXPENSE OF ARBITRATION. FA PROVIDED CLAIMANT WITH SUITABLE ADVICE THAT WAS IN CLAIMANT'S BEST INTERESTS. CLAIMAN'S PORTFOLIO AT MERRILL LYNCH HAD AN OVERALL MODERATE RISK TOLERANCE AND SUSTAINED SIGNIFICANT PROFITS. THE ONLY AGGRESSIVE INVESTMENTS IN CLAIMANTS ACCOUNT WERE THE PENNY STOCKS WHICH CLAIMANT PURCHASED ON AN UNSOLICITED BASIS. CLAIMANT ALSO HELD AGGRESSIVE INVESTMENTS OUTSIDE OF MERRILL LYNCH.
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