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
Disclosure History
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
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