John Matthew Kurzhal of Minneapolis Minnesota a stockbroker formerly employed by UBS Financial Services Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he neglected to provide FINRA with a response to its request for information concerning Kurzhal’s business activities. Case No. 2018056841201 (Apr. 3, 2018).
FINRA Public Disclosure reveals that Kurzhal was discharged from UBS on December 5, 2017 supported by allegations that he (1) altered customer account documentation on at least two occasions and furnished those forms to UBS to be processed and (2) failed to be forthcoming to the firm during the course of an investigation into Kurzhal’s business activities.
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