Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Klein (Klein), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Klein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.
Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.
