Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2018 indicate that Virginia-based UBS Financial Services broker/adviser Michael Kemp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kemp (CRD# 2409599).
Michael Kemp has spent 24 years in the securities industry and has been registered with UBS Financial Services in Roanoke, Virginia since 2012. Previous registrations include Morgan Stanley Smith Barney in Roanoke, Virginia (2009-2012); Citigroup Global Markets in Roanoke, Virginia (2001-2009); and UBS Painewebber in Weehawken, New Jersey (1993-2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1994; Series 31 (Futures Managed Funds Examination), which he obtained on December 16, 2002; and Series 7 (General Securities Representative Examination), which he obtained on December 21, 1993. He is a registered broker and investment adviser with 32 US states and territories.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint and one denied customer complaint.
In June 2018 a customer alleged Michael Kemp, while employed at UBS Financial Services, moved a stock position from a non-discretionary account to a discretionary account without his knowledge and then sold the position without authorization. The customer is seeking unspecified damages believed to exceed $5,000 in the pending complaint.
In 2003 a customer alleged Michael Kemp, while employed at UBS Financial Services, made unauthorized investments. The customer sought unspecified damages in the complaint, which was denied.
In 2001 a customer alleged Michael Kemp, while employed at UBS Painewebber, executed unauthorized and unsuitable purchases of tech stocks. The complaint settled for $13,000.
If you or someone you know has a complaint regarding Michael Kemp, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.