DID DANIEL BART SILVERBERG CAUSE YOU INVESTMENT LOSSES?
Daniel Silverberg Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
About Daniel Silverberg of UBS Financial Services Inc.?
Daniel Silverberg (CRD #1576956) is currently registered with UBS Financial Services Inc., operating out of offices in Mt. Laurel, New Jersey as a financial advisor, and a registered broker in Philadelphia, Pennsylvania since July 22, 2021. Silverberg has a long-standing history in the financial services industry, with previous registrations at Morgan Stanley and several other major brokerage firms. He is registered with 10 Self-Regulatory Organizations and licensed in 25 U.S. states and territories. Over his career, Silverberg has passed four general industry/product exams and two multi-state securities law exams, demonstrating a broad and robust knowledge of financial regulations and products.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Daniel Silverberg Customer Complaints and Reviews
Daniel Silverberg has been involved in two customer disputes:
- Customer Dispute Filed in 2011: Allegations involved sales practice violations related to the purchase of Lehman Brothers structured notes. The complaint, which claimed damages of $72,250, was settled in August 2012 for $21,717.50. Silverberg’s firm at the time, UBS Financial Services, was involved, but Silverberg did not contribute personally to the settlement.
- Customer Dispute Filed in 2024: This recent complaint alleges that Silverberg failed to generate sufficient funds to cover specific loan payments through his management of the client’s investments, resulting in an interest burden that exceeded the earnings from those investments. The dispute was settled for $9,000 in June 2024.
Allegations Against Daniel Silverberg
- Sales Practice Violations: In 2011, Silverberg was involved in a dispute concerning the inappropriate sale of structured products, specifically Lehman Brothers notes, which allegedly led to significant client losses.
- Mismanagement of Investment Objectives: In 2024, Silverberg faced allegations that he assured a client of earnings that would cover certain financial obligations, which did not materialize, leading to financial distress for the client.
Daniel Silverberg Red Flags & Your Rights As An Investor
Of course, Daniel Silverberg 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 Daniel Silverberg at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Silverberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firms’ 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?
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 UBS Financial Services Inc. Due To Daniel Silverberg
If you have questions about UBS Financial Services Inc. and/or Daniel Silverberg 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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