Investors potentially experienced sales practice violations due to securities broker Jason Christopher Klein [CRD: 2038304, Buffalo, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Klein has worked for UBS Financial Services Inc. in Buffalo, New York, since February 9, 2007, as both a broker and an investment adviser. Check out the following information about the disclosures involving Jason Klein and the investments at issue.
Particularly, a client of UBS Financial Services Inc. contested Jason Klein’s sales practices, according to a complaint dated February 6, 2025. Allegedly, Klein made unsuitable recommendations and misrepresented the nature of the investments. Allegedly, Klein allegedly caused the client to sustain damages through investments in real estate investment trusts and variable annuities. As a result, the client sought compensation from UBS Financial Services Inc. or Klein in the amount estimated to exceed $5,000 in this matter.
Additionally, a UBS Financial Services Inc. client filed FINRA Arbitration No. 08-02532 about Jason Klein. Supposedly, Klein recommended illiquid investments. Because of this, the client allegedly incurred damages through investing in auction rate securities. Consequently, on October 30, 2009, UBS Financial Services Inc. settled this matter by paying the client $4,999.00 in damages.
Also, a client of McDonald Investments Inc. contested Jason Klein’s sales practices, according to a complaint dated December 7, 2001. Allegedly, Klein made unsuitable recommendations relating to bonds. Because of this, the client sought compensation from McDonald Investments Inc. or Klein in the amount of $36,600.00 in this matter. However, the firm denied the complaint.
Particularly, a client filed a complaint about Jason Klein. Supposedly, Klein engaged in unauthorized trading. Because of this, the client allegedly incurred damages through investing in stocks. For this reason, on September 7, 2001, McDonald Investments Inc. settled this matter by paying the client $19,525.25 in damages.
Do you have concerns or questions about your investments with Jason Klein? You can reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a possible recovery. Soreide Law Group has recovered losses for clients located throughout the country. The firm also works on a contingency fee basis and advances all costs. Klein and the securities firms Klein worked for deny allegations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com