Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Kort (Kort), previously associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kort recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on August 12, 2024.
Time frame: 2017-2024 Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.
