According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and 3 outstanding judgement/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In May 2016, the Texas State Securities Board (TSSB) suspended Kuhn in his capacity as an investment adviser representative for 30 days and fined him $5,000. The TSSB alleged that Kuhn had personally guaranteed multiple lines of credit on behalf of a private company he invested in, but did not disclose this loan guarantee to UBS. That company failed and liens were filed against Kuhn who failed to timely disclose the liens on FINRA reporting forms in violation of the Texas Securities Act.
A dispute received in March 2016 alleges damages of $100,000 by a customer who alleges that he was lead to believe by Kuhn that the principal of an annuity was protected against market loss and could never go down. The customer also alleges that the annuity is unsuitable.
If you have questions about an account handled by Robert M. Kuhn, call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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