Thomas Einar Gunnersen, of Greenwood Village, Colorado, a stockbroker formerly registered with UBS Financial Services, Inc., is the subject of a customer initiated investment related arbitration claim on August 19, 2016, in which the customer requested $31,873.00 in damages based upon allegations that Gunnersen was responsible for the customer’s losses on high yield bond transactions effected in the customer’s account from December of 2013 to January of 2016.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on December 23, 2008, a customer initiated investment related written complaint involving Gunnersen’s conduct was settled for $50,000.00 in damages supported by allegations of Gunnersen’s misconduct concerning auction rate securities effected in the customer’s account. Further, on July 7, 2014, a customer filed an investment related written complaint regarding Gunnersen’s activities, wherein the customer requested more than $5,000.00 in damages based upon allegations that Gunnersen effected a distribution of funds from the customer’s equity portfolio without first obtaining the customer’s consent.

Guiliano Law Firm

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