Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wesner (Wesner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesner 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 $1,000,000.00 on December 13, 2022.
Failure to follow instructions, negligence and breach of contract in a life insurance transaction dated around November 2007.