DID DEAN J JOHN MENIKTAS CAUSE YOU INVESTMENT LOSSES?
About Dean Meniktas of UBS Financial Services Inc.?
Dean Meniktas (CRD #2553748) has been in the securities industry since December 1994 and is currently registered with UBS Financial Services Inc. as a broker and investment advisor in Walnut Creek, California, since February 2008. His career spans over multiple reputable firms including Merrill Lynch, where he was registered from December 1994 until March 2008. Meniktas is registered with 10 Self-Regulatory Organizations (SROs) and licensed in 17 U.S. states and territories. His exam qualifications include passing two general industry/product exams and two multi-state securities law exams. This extensive licensure and affiliation with significant industry players highlight his seasoned background and broad compliance with regulatory standards.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Dean Meniktas Customer Complaints and Reviews
Dean J. John Meniktas has had disclosure events reported in his FINRA record:
- Total Disclosures: 1 customer dispute
- Details of the Dispute:
- Time Frame: 2015-2023
- Allegations: The client alleges that Meniktas made an unsuitable recommendation to invest in a complex life insurance investment strategy as part of a selling away scheme.
- Product Type: Split-Dollar Life Insurance
- Claimed Damages: $1,036,306.00
- Current Status: Pending arbitration with FINRA, Docket/Case #: 24-01463
- Date Notice Served: July 2, 2024
Allegations Against Dean Meniktas
- Allegations: Unsuitable recommendation involving a complex life insurance investment strategy, classified under a “selling away” scheme, which typically involves selling or advising on securities not held or offered by the broker’s affiliated firm.
- Damages Sought: $1,036,306.00
- Arbitration Status: The case is currently under arbitration with FINRA, indicating that the claims are being formally reviewed and have not yet reached a resolution.
Dean Meniktas Red Flags & Your Rights As An Investor
Of course, Dean Meniktas 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 Dean Meniktas at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dean Meniktas 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 Dean Meniktas
If you have questions about UBS Financial Services Inc. and/or Dean Meniktas 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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