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CLIENT ALLEGES THAT WHEN HE TRANSFERRED HIS
ACCOUNT TO PAINEWEBBER, HIS BROKER SOLD HIS POSITION IN
VANGUARD WINDSOR FUND BETWEEN AUGUST AND SEPTEMBER 1997,
WITHOUT AUTHORIZATION. DAMAGES NOT SPECIFIED.
Broker Comment
PAINEWEBBER DENIED THE CLAIM. AN INVESTIGATION
REVEALED THAT ALLEGATION WAS UNSUBSTANTIATED.
Not Provided
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.