THOMAS ROE COSINUKE is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 38 EASTWOOD DRIVE, SUITE 400, SOUTH BURLINGTON, VT, 05403.
THOMAS ROE COSINUKE has worked at UBS FINANCIAL SERVICES INC. since September 14, 1999
Disclosure History
THOMAS ROE COSINUKE has 2 Disclosure Event(s).
Date: January 10, 2012 Category: Customer Dispute Allegations: CLAIMANT ALLEGES NEGLIGENCE AND FAILURE TO SUPERVISE. TIME FRAME: LATE 2009-JULY 2011 Damage Amount Requested: $1,600,000.00 Settlement Amount: $1,075,000.00 Broker Comment: THE ALLEGATIONS ARE WITHOUT MERIT AND I DENY THEM IN TOTALITY
Date: December 12, 2011 Category: Customer Dispute Allegations: TIME FRAME: JANUARY 2010-MAY 2011. CLAMANT ALLEGES NEGLIGENCE AND FAILURE TO SUPERVISE IN CONNECTION WITH CLAIMANT'S INVESTMENTS IN A COVERED WRITING PROGRAM. Damage Amount Requested: $1,300,000.00 Settlement Amount: $875,000.00 Broker Comment: THE ALLEGATIONS ARE WITHOUT MERIT AND I DENY THEM IN THEIR TOTALITY
More Information
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