Investor Seeks $1 Million in Damages in Dispute with Kevin Wesner

Kevin Wesner (CRD #: 2827165), a broker registered with UBS Financial Service, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on March 8, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On December 13, 2022, an investor alleged that Kevin Wesner failed to follow their instructions, engaged in negligence, and breached his contract with regard to a life insurance transaction executed in approximately November 2007. The client seeks $1 million in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What qualifies as broker negligence?

Many types of broker misconduct may qualify as negligence. Typical examples include misrepresentations or omissions of material fact, unsuitable investment recommendations, and unauthorized trading.

Investors who have lost money through broker negligence may be able to recover their funds by pursuing FINRA arbitration.

Background Information

Kevin Wesner has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 31 – Futures Managed Funds Examination
• Series 7 – General Securities Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

Kevin Wesner is a registered broker in 14 states and the District of Columbia. He is also a registered investment adviser in Maryland and Texas.

He has also worked for Citigroup Global Markets (CRD#:7059) and Legg Mason Wood Walker (CRD#:6555).

Kurta Law Can Help

If you worked with Kevin Wesner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.