Articles Tagged with Kenneth Angelo

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Angelo (Angelo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Angelo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 27, 2025.

Allegations as stated by Claimant:         Time frame:     Unspecified\, Allegations: Claimant alleges unsuitable investment advice, heavy concentration in municipal bonds, and recommended margin loan.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Angelo (Angelo), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Angelo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 07, 2024.

Time frame:     not specified \, \, Allegations: Plaintiff’s Counsel alleges their client was provided unsuitable investment advice and recommendations; they were over weighted in municipal bonds and they paid excessive fees in the managing of their accounts.