Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Kocher (Kocher), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kocher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 10, 2023.
Time Frame: August 13, 2021 to December 7th, 2022\, \, What were the allegations against the individual? The client’s attorney alleges the recommendation to purchase a security was not in his client’s best interest, was unsuitable, and was a breach of fiduciary duty. The alleged damages are estimated to be in excess of $5,000.00.