THOMAS PATRICK HOLLAND is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 2055 CROCKER ROAD, WESTLAKE, OH, 44145.
THOMAS PATRICK HOLLAND has worked at UBS FINANCIAL SERVICES INC. since August 10, 2006
Disclosure History
THOMAS PATRICK HOLLAND has 2 Disclosure Event(s).
Date: May 10, 1993 Category: Customer Dispute Allegations: CHURNING, UNAUTHORIZED TRADING, FAILURE TOAPPRISE CLIENT OF TAX CONSEQUENCES. CONTACT: ESTHER KOSLOW 212464-7289 Damage Amount Requested: $500,000.00 Settlement Amount: $12,030.00 Broker Comment: SHEARSON AGREED TO PAY CUSTOMER THE SUM OF$12,030.00.I REPEAT AND REAFFIRM THE ANSWER, DENIALS ANDDEFENSES SET FORTH IN THE ANSWER FILED ON MY BEHALF. IUNDERSTAND THAT THE FIRM SETTLED THE MATTER FOR NUISANCEVALUE/COST OF DEFENSE. I WAS NOT ASKED TO CONTRIBUTE TO THESETTLEMENT.
Date: June 08, 1988 Category: Employment Separation After Allegations Firm Name: PRESCOTT, BALL & TURBEN, INC. Termination Type: Discharged Broker Comment: ON 4/16/87, THOMAS HOLLAND LEFT HIS POSITION AS BRANCH MANAGER OF THE PAINEWEBBER, CLEVELAND OFFICE TO JOIN PRESCOTT, BALL & TURBEN, INC. AT THAT TIME, HE TOOK WITH HIMCOPIES OF THE MICROFISCHE FOR THE MONTH OF DECEMBER 1986 WHICH CONTAINED STATEMENTS OF BRANCH ACCOUNTS AND KEPT THESE IN HIS POSSESSION AT PRESCOTT FOR A COUPLE OF MONTHS AFTER WHICH THEY WERE DESTROYED. HOLLAND STATES THE RECORDS WERE COPIED FOR REVIEW OF HIS ACCOUNTS AND TO DEFEND AGAINST POTENTIAL CUSTOMER RAIDS. THE MANAGEMENT AT PRESCOTT THAT HIRED HIM UNDER A 3 YEAR EMPLOYMENT AGREEMENT WAS FULLY AWARE THAT THESE RECORDS WERE IN HOLLAND'S POSSESSION AND THE LIMITED AND TEMPORARY PURPOSE FOR WHICH HE HELD THEM. HE WAS WRONGFULLY DISCHARGED BY PRESENTMANAGEMENT AT PRESCOTT AND IS PURSUING HIS LEGAL REMEDIES. COPY OF MEMORANDUM FROM HOLLAND TO SHEARSON LEHMAN HUTTON'SREGISTRATION DEPARTMENT AND COPY OF ATTORNEY LETTER TO PRESCOTT, BALL & TURBEN, INC. HAVE BEEN RECEIVED.
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