Jacob Robert Craton CRD

Jacob Robert Craton FINRA CRD

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Disclosure Events

The Following Types Have Been Reported

  • 1 Regulatory Event
  • 1 Customer Dispute
  • 1 Termination

Regulatory Event

Reporting Source Employing Firm Allegations MONETARY SANCTIONS
Regulator UBS Financial Services INC  Findings stated that Craton deprived the firm of the opportunity to act in accordance with its system and procedures by changing the terms of an order to bypass principal review and approval $5,000

Pending Customer Disputes

Reporting Source Employing Firm Allegations Alleged Damages
Firm UBS Financial Services INC  Misrepresented stock and short option positions, and that the recommendation of those positions were inconsistent with his investment objectives, risk tolerance and financial resources $499,000
Docket/Case # Date Notice
16-03754 01-04-17

Employment Separation After Allegations

Reporting Source Employing Firm Allegations Alleged Damages
Firm UBS Financial Services INC.  Mr. Craton’s employment was terminated on July 30th 2012 when management lost confidence in his ability to perform the responsibilities of his role.
Docket/Case # Date Notice
17-00474 02-17-17

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