Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey K. Johnson (Johnson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 25, 2024.
Time Frame: July 19th 2024 – July 24th 2024\, What were the allegations against the individual? The client alleges that his instructions to sell down his equity positions in his account was not done.
