Investigation of UBS Financial Services Inc. Broker Sean Kennedy

UBS Financial Services Inc.

Can I recover losses due to investments with UBS Financial Services Inc. broker Sean Kennedy (CRD# 5755114)? He has been registered with Rockefeller Financial LLC in New York, New York, since 2022. Previously, he was registered with UBS Financial Services Inc. in Florham Park, New Jersey, from 2012 to 2022.

Sean Kennedy Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

August 2022. “Time frame: 2017-2019 Claimant’s counsel alleges that UBS and the named employees allowed a wrongful transfer of title to the Customer’s investment accounts, resulting in alleged misappropriation following the Customer’s passing.” The customer is seeking $1,900,000 in damages, and the case is currently pending. The complaint was related to managed investment accounts, and it took place while he was registered with UBS Financial Services Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Sean Kennedy’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.