National investment loss lawyers KlaymanToskes is investigating broker Daniel Ladner (CRD# 2932904) of UBS Financial Services Inc.
According to FINRA BrokerCheck, broker Daniel Ladner, of UBS Financial Services Inc. is currently facing a customer complaint. The complaint alleges $1,000,000 in damages due to negligence, breach of fiduciary duty and fraud in the handling and disclosures related to their accounts and related securities-backed loan. The customer further alleges failure to follow instructions to liquidate investments in order to pay down the loan balance and induced her to deposit funds into her investment accounts for investments that were never purchased.
Investors that suffered losses with broker Daniel Ladner are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
UBS Broker Daniel Ladner Faces $1M Investor Complaint
UBS financial advisor Daniel Ladner is currently involved in a customer complaint alleging $1,000,000 in investor damages. The client alleges negligence, breach of fiduciary duty and fraud in the handling and disclosures related to their accounts. Further, the customer alleges failure to follow instructions to liquidate investments. The broker’s comment listed on the disclosure states: “I deny all allegations and claims in full. Against my recommendation, the client elected not to pay down the securities-backed loan until the market declined substantially in 2022. I cautioned this client about overspending risks and advised them to the best of my ability, as I do with all of my clients.” Ladner is registered as a broker with UBS Financial Services in New York, NY.
Investment Losses with Broker Daniel Ladner?
Contact KlaymanToskesSigns Investors Should Look Out For About Their Brokerage Accounts
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
- You have substantial losses in your investment accounts
- You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
- Your broker misrepresented investment opportunities, or failed to disclose details about investments
- You notice unauthorized transactions in your investment accounts
- Your broker is not returning your calls or emails
- You filed a complaint with your brokerage firm that has not been resolved
- You see a mistake on your statement, or receive a fraudulent statement
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Daniel Ladner, or have concerns regarding your investment portfolio at UBS Financial Services Inc., or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
