DID DOUGLAS SCOTT PONCZEK CAUSE YOU INVESTMENT LOSSES?
About Douglas Ponczekof UBS Financial Services Inc.?
Douglas Ponczek (CRD #5843395) has been affiliated with UBS Financial Services Inc. in both Northbrook, IL, and Aventura, FL, since November 2012. He is registered with 10 Self-Regulatory Organizations and licensed in 25 U.S. states and territories. Ponczek has passed three general industry/product exams including the Series 7, the Securities Industry Essentials Examination, and one multi-state securities law exam, the Series 66. His previous registration includes a tenure at Morgan Stanley from October 2010 to November 2012, suggesting a focused career within major financial institutions.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Douglas Ponczek Customer Complaints and Reviews
Douglas Ponczek has one pending disclosure event:
Pending Customer Dispute (Filed March 22, 2024): This dispute alleges that Ponczek recommended high-yield equities unsuitably, without adequately discussing risks to the principal. The claimant is seeking $200,000 in damages, and the case is currently under FINRA arbitration with the docket/case number 24-00650.
Allegations Against Douglas Ponczek
- Pending Allegations:
- Unsuitability: The allegation claims that Ponczek recommended high-yield equities that were unsuitable for the client given the risk profile, specifically critiquing the lack of risk disclosure related to the principal investment. The financial advisor is accused of failing to align his recommendations with the client’s investment objectives and risk tolerance.
Douglas Ponczek Red Flags & Your Rights As An Investor
Of course, Douglas Ponczek 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 Douglas Ponczek at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Ponczek 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 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?
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 [name of last firm] Due To Douglas Ponczek
If you have questions about UBS Financial Services Inc. and/or Douglas Ponczek 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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