WILLIAM HARVE LOZIER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 5465 MILLS CIVIC PARKWAY, WEST DES MOINES, IA, 50266.
WILLIAM HARVE LOZIER has worked at UBS FINANCIAL SERVICES INC. since December 06, 1974
WILLIAM HARVE LOZIER has 3 Disclosure Event(s).
Date: December 22, 1994 Category: Customer Dispute Allegations: CLIENTS ALLEGE MISREPRESENTATIONS,UNSUITABILITY AND OVER-CONCENTRATION REGARDING LIMITEDPARTNERSHIP PURCHASES TOTALING $29,200 INCLUDING: 9/4/86 PWDEV. PARTNERS 4- 9/4/86- $11,000; GEODYNE P 2 12/30/86- $8,000;KEGAN MEDLA PARTNERS- 3/31/89 - $5,200; GEODYNE 3C- 1/31/90 -$5,000 Settlement Amount: $15,000.00 Broker Comment: PAINEWEBBER AGREED TO PAY [CUSTOMERS] $15,000 IN EXCHANGE FOR A FULL RELEASE OF ALL CLAIMS.WE BELIEVE CLIENTS WERE SOLICITED BY GOODMAN &NEKVASIL TO ASSERT CLAIM, THAT THIS FIRM HAS OBTAINED MANY OFOUR LP LISTS AND SOLICITED PW CLIENTS AROUND THE COUNTRY ANDTHAT NEITHER PW NOR THE BROKER BELIEVE THAT ANYMISREPRESENTATIONS WERE MADE TO THE CLIENT. THE FIRM MADE THEDECISION TO SETTLE TO AVOID THE VAGARIES OF LITIGATION. MR.LOZIER WAS NOT ASKED TO CONTRIBUTE.
Date: September 19, 1994 Category: Customer Dispute Allegations: CLAIMANT ALLEGES MISREPRESENTATIONS,OVER-CONCENTRATION & UNSUITABLE RECOMMENDATIONS REGARDING LPINVESTMENTS FROM 12/17/85 - 10/1/90 TOTALING $213,644INCLUDING: R & D PARTNERS 12/17/85 $10,000; PW RES. REALTY -2/20/86 $10,000; EPI 3/27/86 $27,500; PW GROWTH III 7/1/86$20,000; PW DEVL. PART 4. 9/5/86 $18,000; GEODYNE I E 9/6/86$17,000; PW DEVL. PARTN 4 1/30/87 $17,000; GEODYNE 2 F 11/29/88$12,000; GEODYNE 2G 1/4/89 $20,000 & OTHERS. Settlement Amount: $60,000.00 Broker Comment: ON 1/27/95 PW AGREED TO PAY THE CLIENT $60K INEXCHANGE FOR A FULL RELEASE OF ALL CLAIMS.WE BELIEVE THIS CLIENT WAS SOLICITED BY GOODMAN &NEKVASIL TO ASSERT CLAIM, THAT THIS FIRM HAS OBTAINED MANY OFOUR LP LISTS AND SOLICITED PW CLIENTS AROUND THE COUNTRY ANDTHAT NEITHER PW NOR THE BROKER BELIEVE THAT ANYMISREPRESENTATIONS WERE MADE TO THE CLIENT.
Date: February 17, 1989 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT HER ACCOUNT WASEXCESSIVELY TRADED IN LIGHT OF HER INVESTMENT OBJECTIVES AND,THAT THE STATUS ACCOUNT WAS MISREPRESENTED WITH INTENT TODEFRAUD. CLIENT IS CLAIMING $193,432.55 IN COMPENSATORYDAMAGES AND $500,000.00 IN PUNITIVE DAMAGES. Damage Amount Requested: $193,432.55 Damages Granted: $75,000.00 Broker Comment: AN AWARD IN THE AMOUNT OF $75,000 WAS RENDEREDAGAINST PAINEWEBBER AND MR. LOZIER, WHO AT SOME FUTURE POINTWILL CONTRIBUTE APPROXIMATELY $25,000 TO THE AWARD.Not Provided
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.
To view the full report for WILLIAM HARVE LOZIER, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More