Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2019 indicate that Florida-based UBS Financial Services broker/adviser John Pence has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pence (CRD# 359667).
John Pence has spent 46 years in the securities industry and has been registered with UBS Financial Services in Jacksonville, Florida since 1980. Previous registrations include Kidder Peabody & Company (1978-1980); Paine Webber Jackson & Curtis (1980); and Kidder Peabody & Company (1972-1978). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 24, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; and Series 1 (Registered Representative Examination), which he obtained on March 14, 1972. He is a registered broker and investment adviser with 15 US states and territories: Arkansas, California, Florida, Georgia, Illinois, Maine, Massachusetts, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, and Virginia. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In October 2018 a customer’s power of attorney alleged John Pence, while employed at UBS Financial Services, “stole over $100,000 from his mother.” The claimant is seeking unspecified damages in the pending complaint.
In 2003 a customer alleged John Pence, while employed at UBS Financial Services, failed to follow instructions and recommended unsuitable investments. The complaint settled for $42,630.
In 1991 a customer alleged John Pence, while employed at Painewebber, wrongfully induced the purchase of real estate limited partnerships. The complaint settled for $125,000.
If you have lost money investing with John Pence, you may be entitled to recoup your losses. Call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.