FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Neil Kevin Klein (CRD#: 1681779, White Plains, New York) and that those violations resulted in damages. Notably, Klein was a securities broker and financial advisor at UBS Financial Services (his employer since 2006) and Advest Inc. (his prior employer through 2000) during the time of the allegations against him. For more information concerning this securities broker, read the following summary of disclosures as reported on BrokerCheck.
Evidently, on August 30, 2019, a UBS Financial Services client decided to lodge a dispute about Neil Klein’s and the securities firm’s sales practices. Apparently, the securities firm or broker is accused of unsuitable trading. Supposedly, this caused tax liabilities and substantial losses for a client’s trust. Supposedly, Klein or the securities firm caused the client to experience damages by investing in annuities. Consequently, to resolve the client’s allegations of improper sales practices, UBS Financial Services settled with the client by making a payment to them in the amount of $50,000 on December 28, 2021.
It appears that a UBS Financial Services client took issue with Neil Klein’s actions, according to a dispute. The client’s causes of action against the securities firm include his failure to follow instructions by prematurely selling stocks. Supposedly, Klein or the securities firm caused the client to experience $13,000 In damages by investing in equities. However, the securities firm and broker disagreed with the allegations and denied the client’s dispute.
Notably, a client of Advest Inc. complained about Neil Klein’s sales practices at Advest Inc., according to an investment dispute listed on BrokerCheck. Supposedly, Klein caused the client to incur damages relating to the client’s investments in equities. Allegations include unsuitable trading, unauthorized trading, and churning. It seems that the client accepted $9,990 in damages from the securities firm, per a settlement that the firm and client reached.
Did you realize losses because of Neil Klein? You can get in touch with Soreide Law Group at (888) 760-6552 to talk with a skilled securities attorney about a possible recovery of your losses. Soreide Law Group takes clients’ cases on contingency fee arrangements. Also, we advance all costs. The firm has recovered considerable compensation for investors that have incurred damages from securities brokers or financial advisors. Please note that Klein denies all allegations of improper sales practices.
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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