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CLIENT ALLEGES FA FAILED TO FOLLOW INSTRUCTIONS TO SELL ENE. TIME PERIOD: 10/24/01 - 11/01/01
Damage Amount Requested
$17,740.00
Settlement Amount
$17,480.00
Broker Comment
UBS PAINEWEBBER AND MR. JEFFREY ABOLOFF HAVE BOTH VEHEMENTLY DENIED [CUSTOMER'S] ALLEGATIONS REGARDING HER ENRON SALE. AS A BUSINESS DECISION ONLY, UBS PAINEWEBBER AND JEFFREY ABOLOFF DECIDED TO SETTLE WITH THE CLIENT WITH NO INDIVVIDUAL CONTRIBUTION MADE ON THE PART OF MR. ABOLOFF.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.