Articles Tagged with Thomas Jenkins

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $4,100,000.00 on June 20, 2025.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $4,100,000.00 on June 20, 2025.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 July 30, 2024.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.