Kenneth James Wise (CRD#1492642) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Kenneth James Wise (CRD#1492642) regarding allegations made regarding the following:

Claim(s) Made Against Kenneth James Wise:

Claim Date: 4/3/2020

“Time frame: 2011 to 2017 Allegations: Claimants allege breach of fiduciary duty, violation of know your client and negligence in allowing a third party to “financially exploited“ and thus commit elder abuse by a third party. Claimants allege that the events should have been know and seen yet were not acted on to protect the client.”

This claim, as of this posting, is currently Settled with a claim amount of $500,000.00 .

The investor was paid $250,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Kenneth James Wise.

Were you a customer of Kenneth James Wise?

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Kenneth James Wise and UBS FINANCIAL SERVICES INC. and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

If you had a negative experience or issue with Kenneth James Wise and UBS FINANCIAL SERVICES INC. from SYLVANIA, OH, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Kenneth James Wise, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.