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Kenneth Collins, Jr. Formerly With Union Capital Company Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Kenneth Collins, Jr. formerly with Union Capital Company?

Kenneth Collins, Jr.

Kenneth Collins, Jr. (CRD #2395008) who was formerly registered with Union Capital Company and located in Tucson, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Union Capital Company, Kenneth Collins, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kenneth Collins, Jr.  Customer Complaints

Kenneth Collins, Jr. has been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled in favor of the investors. The other 2 customer complaints were denied by Kenneth Collins former employers and customers took no further action.

Allegations Against Kenneth Collins, Jr.

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to disclose surrender charges associated with variable annuity contracts.
  • Failure to adequately inform customer of premium rate of an insurance policy.
  • Financial advisor failed to transfer and inherited IRA into a qualified accounts and instead transferred the IRA assets into a nonqualified account which cause the customer to pay federal and state taxes.
  • Common-law fraud, breach of fiduciary duty and negligence related to re-transactions.

Kenneth Collins, Jr.  Red Flags & Your Rights As An Investor

Of course, Kenneth Collins, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kenneth Collins, Jr. at Union Capital Companyon alert to review carefully the activity and performance of their accounts and question whether Kenneth Collins, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Union Capital Company also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Union Capital Company Due To Kenneth Collins, Jr.

If you have questions about Union Capital Company and/or Kenneth Collins, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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