THOMAS EARL DUKES is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 200 SOUTH LOS ROBLES AVE STE #600, PASADENA, CA, 91101.
THOMAS EARL DUKES has worked at UBS FINANCIAL SERVICES INC. since January 15, 1993
Disclosure History
THOMAS EARL DUKES has 1 Disclosure Event(s).
Date: February 28, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR ACTED WITHOUT AUTHORIZATION REGARDING THE COVERING OF SHORT OPTIONS. DAMAGES UNSPECIFIED BUT ESTIMATED TO BE IN EXCESS OF $5,000.TIME FRAME: OCTOBER 5, 2007 TO FEBRUARY 2008. Damage Amount Requested: $5,000.00
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