David Kenneth Rubenstein, of Farmington Hills, Michigan, a stockbroker formerly registered with Wells Fargo Advisors, LLC, was terminated from employment on April 11, 2016, based upon allegations pertaining to misconduct committed at his prior firm, Ameriprise Financial Services, Inc.
FINRA Public Disclosure reveals that Rubenstein’s registration was terminated from Ameriprise Financial Services, Inc. on July 29, 2015, based upon allegations that Rubenstein traded in customer account(s) on a discretionary basis, which was prohibited by Ameriprise Financial Services, Inc.
Rubenstein was named in a customer initiated investment related arbitration claim on May 13, 2002, based upon allegations that he failed to disclose facts to a customer concerning UBS AG WCOM Goals Investment.
Since May 27, 2016, Rubenstein has been associated with L.M. Kohn & Company.
