Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Klaasen (Klaasen), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Klaasen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 13, 2023.
Customer alleges unsuitable investment recommendations and unauthorized trading in March 2020.