Neil Kevin Klein of White Plains, New York, a stockbroker registered with UBS Financial Services Inc. wasis the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $50,000.00 in damages based upon allegations that Klein made unsuitable recommendations regarding the sale of annuities during his association with UBS Financial Services Inc. FINRA Arbitration No. 19-02590 (Dec. 28, 2021).
FINRA Public Disclosure shows that Klein is referenced in other customer initiated investment related disputes concerning Klein’s conduct while associated with securities broker dealers, including UBS Financial Services Inc. On July 8, 2009, a customer filed an investment related complaint involving Klein’s conduct in which the customer requested $13,000.00 in damages based upon allegations that Klein failed to follow the customer’s instructions in connection with the recommendation and sale of common stocks and preferred stocks when Klein was associated with UBS Financial Services Inc.
On September 15, 2000, a customer initiated investment related FINRA securities arbitration claim involving Klein’s conduct was settled for $9,990.00 in damages based upon allegations that Klein made unsuitable and unauthorized transactions and churned the customer’s account relating to the recommendation and sale of common stocks and preferred stocks when Klein was associated with Advest Inc. FINRA Arbitration No. 00-01565.
Klein has been associated with UBS Financial Services Inc. since April 28, 2006.
