WILLIAM MONFILS UPSON is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 1999 N. CALIFORNIA BLVD., SUITE 830, 8TH FLOOR, WALNUT CREEK, CA, 94596.
WILLIAM MONFILS UPSON has worked at ROYAL ALLIANCE ASSOCIATES, INC. since November 19, 1989
Disclosure History
WILLIAM MONFILS UPSON has 2 Disclosure Event(s).
Date: February 28, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MR. UPSON DID NOT DISCLOSE THE INVESTMENT STRATEGIES AND FEES ASSOCIATED WITH A VARIABLE ANNUITY INVESTMENT. Broker Comment: AFTER A THOROUGH INVESTIGATION, THE FIRM FOUND THIS COMPLAINT TO BE WITHOUT MERIT.
Date: April 27, 1989 Category: Customer Dispute Allegations: MISREPRESENTATION IN THE SALE AND PURCHASEOF WINDMILLS.AS AN EMPLOYEE FROM 5/18/83 THRU 12/31/84 OF ARBUTUS CORP. I SOLD WINDMILLS TO QUALIFIED (REQD) INVESORS, PLAINTIFFS ALLEGED WIND PARK AND MACHINES WERE NOT PROPERLY MAINTAINED OR OPERATED, AND ARBUTUS MISREPRESENTED THE PROGRM. Settlement Amount: $500,000.00 Broker Comment: NONE TO DATENOT PROVIDED
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