Robert M. Kuhn, of Plano, Texas, a stockbroker with UBS Financial Services Inc., is subject to a arbitration claim by a customer requesting $100,000.00 in damages because allegedly Kuhn misrepresented an annuity that the customer purchased, and made an unsuitable investment recommendations.
FINRA Public Disclosure records show that on October 20, 2015, UBS Financial Services terminated Kuhn amid allegations that he did not disclose outside business activities, customer complaints, and a judgment against him.
On May 23, 2016, Kuhn was fined $5,000.00 and his securities registration was suspended by Texas’ Securities Commissioner after consenting to findings that he failed to inform UBS about lines of credit that non-firm customers extended to an outside company and which he personally guaranteed on behalf of such company. Kuhn reportedly became subject to liens after lenders were unable to recover monies owed by the company. Kuhn was also cited by Texas’ Securities Commissioner for failing to disclose such liens on his Form U4. As such, Texas Securities Commissioner found that Kuhn violated Sections 115.9 and 116.9 of the Texas State Securities Board Rules.
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