THOMAS LEE STONER

THOMAS LEE STONER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 3000 A STREET, SUITE 100, ANCHORAGE, AK, 99503.

THOMAS LEE STONER has worked at UBS FINANCIAL SERVICES INC. since April 17, 2009

Disclosure History

THOMAS LEE STONER has 1 Disclosure Event(s).

Date: May 07, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABILITY WITH RESPECT TO INVESTMENTS.-2003-2009. DAMAGES UNSPECIFIED.
Broker Comment: I STRONGLEY DENY THESE ALLEGATIONS. THEY HAVE NO MERIT. CLIAM DENIED

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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