Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Wise (Wise), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wise recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 04, 2020.
Time frame: Starting Spring of 2014 Claimant’s counsel alleges financial advisor provided unsuitable investment recommendations and failed to pay down Claimant’s line of credit as directed