Investors File Disputes About Kirk Badii

Soreide Law Group is investigating possible investor claims against securities broker Kirk Badii [CRD#: 5829768, Los Angeles, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services. Notably, investors allege sales practice violations in these disputes, including that Badii made unsuitable transactions. Here is a brief summary of the disclosures about Badii.

UBS Financial Services Investor Accuses Kirk Badii Of Unsuitable Transactions

Evidently, a UBS Financial Services client filed a complaint about Kirk Badii on April 13, 2020. Namely, the client alleged that Badii made unsuitable transactions. Because of this, the client allegedly sustained damages on REITs. However, UBS Financial Services denied this complaint.

Badii Discloses Omissions Allegations By UBS Financial Services Client

Also, a client of UBS Financial Services contested Kirk Badii’s sales practices, according to a complaint. Allegedly, Badii made unsuitable transactions and made omissions. Supposedly, the hedge funds transactions caused the client to sustain damages. Therefore, UBS Financial Services opted to settle the matter on January 7, 2020.

UBS Financial Services Investor Accuses Kirk Badii Of Unsuitable Transactions

Evidently, a UBS Financial Services client filed a complaint about Kirk Badii. Namely, the client alleged that Badii made unsuitable transactions. Because of this, the client allegedly sustained damages. Therefore, on August 19, 2019, UBS Financial Services settled this matter with the client.

Badii Discloses Unsuitable Recommendations Allegations By UBS Financial Services Client

Also, a client of UBS Financial Services contested Kirk Badii’s sales practices by filing FINRA Arbitration #. 19-00701. Allegedly, Badii made unsuitable recommendations. Supposedly, the hedge funds and options transactions caused the client to sustain damages. Therefore, UBS Financial Services opted to settle the matter on March 18, 2019, by compensating the client in the amount of $475,000.

UBS Financial Services Investor Accuses Kirk Badii Of Unsuitable Recommendations

Moreover, a UBS Financial Services client filed a complaint about Kirk Badii. Namely, the client alleged that Badii made unsuitable recommendations. Because of this, the client allegedly sustained damages on private equity funds and options. Therefore, on March 18, 2019, UBS Financial Services settled this matter by paying the client $475,000.

Employment Information

Kirk Badii worked for Cantella Co. in Los Angeles, CA, as a securities broker from September 4, 2018 to February 14, 2020. Badii has been associated with Independent Financial Group in Southlake, TX, as a securities broker since January 23, 2020.

Kirk Badii worked for Cantella Co. in Los Angeles, CA, as an investment advisor representative from September 4, 2018 to February 14, 2020. Badii has been associated with Independent Financial Group in Southlake, TX, as an investment advisor representative since January 23, 2020.

Did UBS Financial Services Securities Broker Kirk Badii Cause You To Experience Damages?

Have you sustained damages by investing with Kirk Badii? If so, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Badii and brokerage firms Badii worked for deny all accusations of sales practice violations.