Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Goldhoff (Goldhoff), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldhoff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,233,690.00 on May 23, 2025.
Time frame: November 2013 to December 2017\, Allegations: Claimant’s Counsel alleges that investments made in municipal bonds were more appropriate for individuals in a high tax bracket and not the claimant who was in a low tax bracket and that the bonds were likely not suitable nor in her best interest. Counsel further alleges that transactions were allowed in the client’s Trust assets without proper authorization.