THOMAS DOYLE LAFOUNTAIN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE CITY CENTER, 7TH FLOOR, PORTLAND, ME, 04101.
THOMAS DOYLE LAFOUNTAIN has worked at UBS FINANCIAL SERVICES INC. since September 22, 2006
Disclosure History
THOMAS DOYLE LAFOUNTAIN has 1 Disclosure Event(s).
Date: October 15, 2013 Category: Customer Dispute Allegations: THE CLIENT ALLEGES SUITABILITY ISSUES AND SAYS HIS ACCOUNT WAS NOT PROTECTED FOR SOMEONE AT HIS AGE. TIME FRAME: FEBRUARY 1, 2013 TO OCTOBER 3, 2013. Broker Comment: AS THE CLIENT'S FINANCIAL ADVISOR, I REFUTE THE ALLEGATIONS MADE IN HIS COMPLAINT. THE CLIENT IS A VERY EXPERIENCED MUNICIPAL BOND INVESTOR WITH OVER A DECADE OF INVESTMENTS IN THIS PRODUCT. ALL INVESTMENTS WERE PRESENTED, DISCUSSED AND APPROVED BY THE CLIENT BEFORE PURCHASE. FURTHERMORE, MY ADVICE AND RECOMMENDATIONS WERE MADE IN MY CLIENTS' BEST INTEREST AT ALL TIMES.
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