Investors have reportedly disputed the sales practices of securities broker Kenneth Louis Goldhoff [CRD: 1186205, Tucson, Arizona], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Goldhoff has been registered with UBS Financial Services Inc. since February 9, 2007. See the following information to find out more about Goldhoff’s disclosure history.
Evidently, on May 23, 2025, a UBS Financial Services Inc. client filed FINRA Arbitration No. 25-01046 about Kenneth Goldhoff. Mainly, the client alleged that Goldhoff engaged in unauthorized trading and made unsuitable recommendations. For this reason, the client allegedly incurred damages. Consequently, the client requested $3,233,690 in compensation from UBS Financial Services Inc. or Goldhoff. This arbitration is pending a resolution.
Particularly, a client of UBS Financial Services Inc. contested Kenneth Goldhoff’s sales practices, according to a complaint dated March 26, 2013. Allegedly, Goldhoff made misrepresentations by providing incorrect information used for financial decisions. It appears that Goldhoff allegedly caused the client to sustain damages associated with variable annuities. As a result, the client sought compensation from UBS Financial Services Inc. or Goldhoff. However, the firm denied this complaint.
Also, on December 30, 2009, a UBS Financial Services Inc. client filed a complaint about Kenneth Goldhoff. Primarily, the client alleged that Goldhoff made omissions. Because of this, the client allegedly sustained damages related to annuities. Therefore, the client requested damages estimated to exceed $5,000 in compensation from UBS Financial Services Inc. or Goldhoff. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with Kenneth Goldhoff? Reach out to Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Goldhoff and brokerage firms Goldhoff worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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