Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Laden (Laden), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Laden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.
Client alleges his instructions to purchase two (2) equity investments were not acted on.