Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wang (Wang), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 07, 2021.
Time Frame: December 24, 2020 to January 7, 2021 \<char_lb_r>\, The client alleges his instructions to have his security sold was not followed. The alleged damages are estimated to be in excess of $5,000.00