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…
Neil Kevin Klein of White Plans New York a stockbroker currently registered with UBS Financial Services Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested between $200,000 and $500,000.00 in damages founded on allegations that trades placed by the stockbroker were unsuitable which resulted in unwarranted losses and…